DFX Intelligence

C••••••••• A••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)26 years in industry

C••••••••• A••• K••••••••

Advisor at C••••• I••••••••• A••••••• L••

ARDEN HILLS, MN | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:4d63ef9d-78c7-6cdf-f9fc-f11d2163d129

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2007 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 13, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2023	n/a	yes	ARDEN HILLS, MN\|MINNEAPOLIS, MN	Current employment
C•• S••••••••• L••	Former SEC adviser	Feb 1, 2018	Oct 19, 2021	no	MINNEAPOLIS, MN

Moves

••• Locked

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 19, 2021	Feb 1, 2018

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 1, 2018 to Aug 10, 2023factForm ADV
→ C•• S••••••••• L••Registered adviserregistration: previous registration
Feb 1, 2018 to Oct 19, 2021factForm ADV
→ R•• C•••••• M••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d63ef9d-78c7-6cdf-f9fc-f11d2163d129
First observed: Aug 16, 2007
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.