DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner46 years in industry

O••• C•••••• B••••

Advisor at C••••••• P•••••••

••• Locked

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Search this name across graphsid dfx:ria:2e96afc3-214e-d711-ed79-7906d9098133

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2015 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••••••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 1979earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P•••••••	Independent wealth	Aug 10, 2023	n/a	yes	Naples, FL\|Minneapolis, MN\|OVERLAND PARK, KS	Current employment
C•• F•••••••• S•••••••• L•••	Former SEC adviser	Mar 16, 2015	Nov 10, 2023	no	SAINT LOUIS PARK, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•• F•••••••• S•••••••• L•••	C••••••• P•••••••	Nov 10, 2023	Aug 10, 2023	-92	Firm change after gap	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
141278:105348:MN:2023-11-10	Nov 10, 2023	Aug 10, 2023	SAINT LOUIS PARK, MN	Firm change after gap

Relationships

Registered with (2)

→ C••••••• P•••••••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ C•• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Mar 16, 2015 to Nov 10, 2023factForm ADV

Dated events

Occurred
Nov 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e96afc3-214e-d711-ed79-7906d9098133
First observed: Mar 16, 2015
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.