DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

C••••• C••• S•••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

••• Locked

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Search this name across graphsid dfx:ria:282d3cda-68e6-f639-6411-db05e62bb9ea

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2013 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 12, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

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Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Jan 7, 2026	n/a	yes	MINNEAPOLIS, MN\|SCOTTSDALE, AZ\|HOUSTON, TX	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Nov 14, 2014	Dec 31, 2021	no	BLOOMINGTON, MN

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Dec 31, 2021	Jan 7, 2026	1,468	Firm change after gap	Ibd to RIA
S••••• F•••••••• S•••••••• I•••	S••••••••• A•••••• A•••••••• I•••	Nov 14, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
110518:20804:MN:2021-12-31	Dec 31, 2021	Jan 7, 2026	BLOOMINGTON, MN	Firm change after gap

Relationships

Registered with (3)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Jan 7, 2026 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2014 to Dec 31, 2021factForm ADV
→ S••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 16, 2013 to Nov 14, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:282d3cda-68e6-f639-6411-db05e62bb9ea
First observed: Dec 16, 2013
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.