DFX Intelligence

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

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

C•••••••• R•••• R•••

Advisor at C••••••••• W••••• A•••••••• L••

MINNEAPOLIS, MN | Tempe, AZ

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Search this name across graphsid dfx:ria:37e672f5-5e6b-effa-f330-ecadf198cc5a

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

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 27, 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••••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 5, 1996earliest 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: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• A•••••••• L••	Bd affiliated wealth	May 12, 2026	n/a	yes	Tempe, AZ\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Current employment
W•••• F•••• A•••••••	Wirehouse	Sep 29, 2023	Jan 9, 2026	no	GILBERT, AZ\|ST. LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	C••••••••• W••••• A•••••••• L••	Jan 9, 2026	May 12, 2026	123	Firm change	Wirehouse to ibd
U••• B•••••• A•••••••• L••	W•••• F•••• A•••••••	Sep 22, 2022	Sep 29, 2023

Relationships

Registered with (5)

→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
May 12, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 29, 2023 to Jan 9, 2026factForm ADV
→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
May 5, 2011 to Sep 22, 2022factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

Occurred
Jan 9, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 22, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37e672f5-5e6b-effa-f330-ecadf198cc5a
First observed: Jan 27, 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.