DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••• B•••••• A•••••••• L••
Saint Paul, MN | Apple Valley, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Feb 13, 2026 | n/a | yes | Apple Valley, MN|Saint Paul, MN | Current employment |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Jul 28, 2011 | Feb 13, 2026 | no | Saint Paul, MN|Apple Valley, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | U••• B•••••• A•••••••• L•• | Feb 13, 2026 | Feb 13, 2026 | 0 | Bulk transfer | Ibd to ibd |
| W•••• F•••• A••••••• | U••• B•••••• I••••••••• I••• | Jul 18, 2011 | Jul 28, 2011 |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Jul 18, 2011 | no | ST. LOUIS, MO | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Feb 1, 2008 | Jan 3, 2011 | no | MINNEAPOLIS, MN | Previous registration |
| E••••• J•••• | National bd RIA | Sep 6, 2007 | Sep 7, 2007 | no | LAKEVILLE, MN|ST LOUIS, MO | Previous registration |
| 10 |
| Firm change |
| Other |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |
| E••••• J•••• | W•••• F•••• I••••••••• L•• | Sep 7, 2007 | Feb 1, 2008 | 147 | Firm change | Other |