DFX Intelligence

A••••• M•••••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

A••••• M•••••• L••••••

Advisor at C••••••••• F•••••••• N••••••

Mendota Heights, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 12, 2005 to Sep 14, 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 21, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jan 17, 2017	n/a	yes	Mendota Heights, MN	Current employment
V••••••••• W••••• M••••••••• I•••	Independent wealth	Jan 6, 2016	Jul 18, 2016	no	ROSEMOUNT, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••••••••• W••••• M••••••••• I•••	C••••••••• F•••••••• N••••••	Jul 18, 2016	Jan 17, 2017	183	Firm change	Other
C••••• I••••••••• A••••••• L••	V••••••••• W••••• M••••••••• I•••	Dec 31, 2015	Jan 6, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:281978:MN:2015-12-31	Dec 31, 2015	Jan 6, 2016	INVER GROVE HEIGHTS, MN	Firm change

Relationships

Registered with (4)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jan 17, 2017 to presentfactForm ADV
→ V••••••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 6, 2016 to Jul 18, 2016factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to Dec 31, 2015factForm ADV
→ C••••• I••••••••• S••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 12, 2005
Last observed: Sep 14, 2026 9 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.