DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

M•••• M••••••• H•••

Advisor at M•• S••••••••• L••

Minneapolis, MN | Schaumburg, IL

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Search this name across graphsid dfx:ria:2e3cb8f4-8fe1-abc1-2f6a-c0dcc23402df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2009 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: M•• S••••••••• L••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Dec 12, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• S••••••••• L••	No RAUM reported	Apr 1, 2020	n/a	yes	Schaumburg, IL\|Minneapolis, MN\|Schaumburg, IL	Current employment
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Apr 18, 2016	Jul 1, 2020	no	CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K••••• A••••••• S•••••••• L••	M•• S••••••••• L••	Jul 1, 2020	Apr 1, 2020	-91	Firm change after gap	Other
N•• A•••••• S•••••••• L••	K••••• A••••••• S•••••••• L••	Sep 22, 2016	Apr 18, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
283330:44254:IL:2020-07-01	Jul 1, 2020	Apr 1, 2020	CHICAGO, IL	Firm change after gap

Relationships

Registered with (5)

→ M•• S••••••••• L••Registered adviserregistration: current employment
Apr 1, 2020 to presentfactForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 18, 2016 to Jul 1, 2020factForm ADV
→ N•• A•••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 30, 2014 to Sep 22, 2016factForm ADV
→ U•• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e3cb8f4-8fe1-abc1-2f6a-c0dcc23402df
First observed: Feb 17, 2009
Last observed: Sep 14, 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.