DFX Intelligence

D••••• M••••• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

D••••• M••••• S••••••••

Advisor at C••••• I••••••••• A••••••• L••

GREENWOOD VILLAGE, CO | DETROIT LAKES, MN

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 17, 2001 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 10, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	DETROIT LAKES, MN\|GREENWOOD VILLAGE, CO	Current employment
F•••• F•••••••• E••••• C•••••••••	Former SEC adviser	May 23, 2011	Apr 20, 2022	no	GREENWOOD VILLAGE, CO\|Detroit Lakes, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• F•••••••• E••••• C•••••••••	C••••• I••••••••• A••••••• L••	Apr 20, 2022	Jun 29, 2023	435	Bulk transfer	Ibd to ibd
B••••••• I••••••••• S•••••••• I••• •••••	F•••• F•••••••• E••••• C•••••••••	May 24, 2011	May 23, 2011

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ F•••• F•••••••• E••••• C•••••••••Registered adviserregistration: previous registration
May 23, 2011 to Apr 20, 2022factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Mar 13, 2009 to May 24, 2011factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 17, 2001
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.