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

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RIA / WealthAdvisor31 years in industry

E••••• R••••• S•••••

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

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:38498ca0-4f50-9c73-478e-f4d5af03ed9e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jan 31, 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: C••••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 24, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• A•••••••• L••	Bd affiliated wealth	May 13, 2026	n/a	yes	MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Current employment
N•••••• I•••	Independent wealth	Feb 6, 2024	Apr 7, 2026	no	MINNEAPOLIS, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••• I•••	C••••••••• W••••• A•••••••• L••	Apr 7, 2026	May 13, 2026	36	Firm change	RIA to ibd
C•••••• L••	N•••••• I•••	Jan 30, 2024	Feb 6, 2024

Relationships

Registered with (3)

→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
May 13, 2026 to presentfactForm ADV
→ N•••••• I•••Registered adviserregistration: previous registration
Feb 6, 2024 to Apr 7, 2026factForm ADV
→ C•••••• L••Registered adviserregistration: previous registration
Jan 31, 2014 to Jan 30, 2024factForm ADV

Dated events

Occurred
Apr 7, 2026
Advisor changed firm
E••••• R••••• S••••• left N•••••• I••• for C••••••••• W••••• A•••••••• L•• (registered 2026-05-13)
Form ADVobserved 7 days ago
Occurred
Jan 30, 2024
Advisor changed firm
E••••• R••••• S••••• left C•••••• L•• for N•••••• I••• (registered 2024-02-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38498ca0-4f50-9c73-478e-f4d5af03ed9e
First observed: Jan 31, 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.