DFX Intelligence

C•••••• R••• L••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

C•••••• R••• L••

Advisor at G••••• W••••• M••••••••• I•••

AUSTIN, MN | Laguna Beach, CA

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Search this name across graphsid dfx:ria:2674fd7e-7cd7-827d-0771-41d17f6fefda

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 3, 2002 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: G••••• W••••• M••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• W••••• M••••••••• I•••	Bd affiliated wealth	Jun 27, 2003	n/a	yes	AUSTIN, MN\|Laguna Beach, CA	Current employment
C••••• A••••••• L••	Former SEC adviser	Oct 3, 2002	Jul 2, 2003	no	AUSTIN, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A••••••• L••	G••••• W••••• M••••••••• I•••	Jul 2, 2003	Jun 27, 2003	-5	Firm change	Other

Relationships

Registered with (2)

→ G••••• W••••• M••••••••• I•••Registered adviserregistration: current employment
Jun 27, 2003 to presentfactForm ADV
→ C••••• A••••••• L••Registered adviserregistration: previous registration
Oct 3, 2002 to Jul 2, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2674fd7e-7cd7-827d-0771-41d17f6fefda
First observed: Oct 3, 2002
Last observed: Sep 15, 2026 7 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.