DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | DUBUQUE, IA|LAKEVILLE, MN | Current employment |
| A•••••• P••••••• P•••••••• I••• | Bd affiliated wealth | Dec 22, 2021 | n/a | yes | DUBUQUE, IA|Lakeville, MN|Dubuque, IA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | A•••••• P••••••• P•••••••• I••• | Sep 5, 2025 | Dec 22, 2021 | -1,353 | Channel change | Ibd to RIA |
| N••••••••• M••••• I••••••••• S••••••••• | A•••••• A••••••• S••••••• | Dec 1, 2021 | Dec 22, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 104556:106237:MN:2025-09-05 | Sep 5, 2025 | Dec 22, 2021 | LAKEVILLE, MN | Firm change after gap |
| 5685:286153:MN:2018-12-03 | Dec 5, 2018 | Feb 9, 2018 | PLYMOUTH, MN | Firm change after gap |
| 250:7691:MO:2017-04-10 | Apr 11, 2017 | Apr 9, 2017 | MARYLAND HEIGHTS, MO | Firm change |
| A•••••• A••••••• S••••••• | Former SEC adviser | Dec 22, 2021 | Sep 5, 2025 | no | DALLAS, TX|Savage, MN|Lakeville, MN|Dubuque, IA | Previous registration |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Aug 25, 2021 | Dec 1, 2021 | no | Milwaukee, WI | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Oct 14, 2020 | Nov 18, 2020 | no | Plymouth, MN | Previous registration |
| P••••••••• S••••• S••••••••• L•• | Institutional manager | Feb 9, 2018 | Sep 21, 2020 | no | Plymouth, MN | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Feb 1, 2018 | Dec 5, 2018 | no | Plymouth, MN|NEWARK, NJ|Plymouth, MN | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 9, 2017 | Jan 16, 2018 | no | DULUTH, MN|MINNEAPOLIS, MN | Previous registration |
| E••••• J•••• | National bd RIA | Mar 17, 2014 | Apr 11, 2017 | no | PRESCOTT, WI|Maryland Heights, MO|Maryland Heights, MO | Previous registration |
| 21 |
| Firm change |
| Other |
| J••• M••••• S••••••••• L•• | N••••••••• M••••• I••••••••• S••••••••• | Nov 18, 2020 | Aug 25, 2021 | 280 | Firm change | Other |
| P••••••••• S••••• S••••••••• L•• | J••• M••••• S••••••••• L•• | Sep 21, 2020 | Oct 14, 2020 | 23 | Firm change | RIA to wirehouse |
| P•••• S••••••••• L•• | P••••••••• S••••• S••••••••• L•• | Dec 5, 2018 | Feb 9, 2018 | -299 | Channel change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | P•••• S••••••••• L•• | Jan 16, 2018 | Feb 1, 2018 | 16 | Firm change | Wirehouse to ibd |
| E••••• J•••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Apr 11, 2017 | Apr 9, 2017 | -2 | Firm change | Ibd to wirehouse |