DFX Intelligence
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Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
MINNETONKA, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Aug 10, 2023 | n/a | yes | MINNETONKA, MN | Current employment |
| C•• S••••••••• L•• | Former SEC adviser | Aug 1, 2007 | Oct 18, 2021 | no | MINNETONKA, MN|MINNETONKA, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• F•••••••• S•••••••• I••• | C••••• I••••••••• A••••••• L•• | Aug 10, 2023 | Aug 10, 2023 | 0 | Bulk transfer | RIA to ibd |
| C•• S••••••••• L•• | S••••••• F•••••••• S•••••••• I••• | Oct 18, 2021 | Aug 1, 2007 |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 1, 2007 | Aug 10, 2023 | no | MINNETONKA, MN|MINNETONKA, MN|ST. PAUL, MN | Previous registration |
| M••••••• A•••••••• I•• | n/a | Sep 26, 2003 | Dec 31, 2007 | no | MINNEAPOLIS, MN | Previous registration |
| -5,192 |
| Bulk transfer |
| Other |
| M••••••• A•••••••• I•• | C•• S••••••••• L•• | Dec 31, 2007 | Aug 1, 2007 | -152 | Firm change after gap | Other |