DFX Intelligence

L••• M••••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor11 years in industry

L••• M••••• K•••••••

Advisor at F••••••• F•••••••• G••••• L••

HORACE, ND | ROCHESTER, MN

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Search this name across graphsid dfx:ria:4caaad2c-f3b4-710e-62db-93a7321e89df

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 4, 2018 to Sep 15, 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: F••••••• F•••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• F•••••••• G••••• L••	Independent wealth	Oct 12, 2022	n/a	yes	HORACE, ND\|ROCHESTER, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jan 14, 2022	Oct 13, 2022	no	Rochester, MN\|Rochester, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	F••••••• F•••••••• G••••• L••	Oct 13, 2022	Oct 12, 2022	-1	Firm change	Ibd to RIA
W•••• F•••• A•••••••	U••• B•••••• I••••••••• I•••	Dec 2, 2020	Jan 14, 2022

Relationships

Registered with (3)

→ F••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Oct 12, 2022 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jan 14, 2022 to Oct 13, 2022factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 4, 2018 to Dec 2, 2020factForm ADV

Dated events

Occurred
Oct 13, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4caaad2c-f3b4-710e-62db-93a7321e89df
First observed: May 4, 2018
Last observed: Sep 15, 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.