DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

A••••• M•••• B••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

EAU CLAIRE, WI

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:38dd627a-49a8-92c2-938e-f393b054f370

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2008 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 14, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom 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
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Oct 23, 2019	n/a	yes	EAU CLAIRE, WI	Current employment
B••••••• W••••• M••••••••• L•••	Former SEC adviser	Oct 15, 2012	Jun 7, 2019	no	ALTOONA, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• W••••• M••••••••• L•••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Jun 7, 2019	Oct 23, 2019	138	Firm change	RIA to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	B••••••• W••••• M••••••••• L•••	Oct 16, 2012

Relationships

Registered with (5)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Oct 23, 2019 to presentfactForm ADV
→ B••••••• W••••• M••••••••• L•••Registered adviserregistration: previous registration
Oct 15, 2012 to Jun 7, 2019factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 2, 2009 to Oct 16, 2012factForm ADV
→

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38dd627a-49a8-92c2-938e-f393b054f370
First observed: Feb 15, 2008
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.