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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industrynot currently registered

M•••••• L•• F•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

ST CLOUD, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:305491a4-8f23-00ac-5aca-7e4711cc1331

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 29, 2014 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 20, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jan 20, 2026	n/a	yes	ST CLOUD, MN	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 13, 2020	Jan 28, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jan 28, 2026	Jan 20, 2026	-8	Firm change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	L•• F•••••••• L••	Jul 13, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
16741:110518:MN:2015-07-22	Jul 22, 2015	Jul 14, 2015	WAITE PARK, MN	Firm change

Relationships

Registered with (5)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 20, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 13, 2020 to Jan 28, 2026factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 5, 2017 to Jul 13, 2020factForm ADV
→ U••••••••• W••••• M••••••••• L••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jan 28, 2026
Advisor changed firm
M•••••• L•• F••••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-01-20)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

First seen by DFX
Sep 18, 2026
date not stated
M•••••• L•• F••••••• no longer holds an investment adviser registration (last listed at A••••••••• F•••••••• S•••••••• L•• on the 2026-09-17 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:305491a4-8f23-00ac-5aca-7e4711cc1331
First observed: Jan 29, 2014
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.