DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••••••• A•••• M•••••••••
MINNEAPOLIS, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| N•••••••• A•••• M••••••••• | Independent wealth | Sep 27, 2019 | n/a | yes | MINNEAPOLIS, MN|MINNEAPOLIS, MN | Current employment |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Oct 11, 2013 | Dec 3, 2018 | no | Saint Paul, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | N•••••••• A•••• M••••••••• | Dec 3, 2018 | Sep 27, 2019 | 298 | Firm change | Ibd to RIA |
| W•••• F•••• A••••••• | U••• B•••••• I••••••••• I••• | Mar 19, 2012 | Oct 11, 2013 |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Mar 19, 2012 | no | ST. LOUIS, MO|ST. LOUIS, MO|MINNEAPOLIS, MN | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Apr 16, 2010 | Jan 3, 2011 | no | MINNEAPOLIS, MN | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Sep 4, 2007 | Sep 3, 2008 | no | EDINA, MN | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jan 23, 2006 | Feb 26, 2007 | no | PHOENIX, AZ | Previous registration |
| 571 |
| Firm change after gap |
| Other |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |
| C•••• I••••••••• S••••••• C•••• | W•••• F•••• I••••••••• L•• | Feb 26, 2007 | Sep 4, 2007 | 190 | Firm change | Other |