DFX Intelligence

P••• D••••• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

P••• D••••• W•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

EDINA, MN | Minnetonka, MN

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Search this name across graphsid dfx:ria:5709ea05-c358-14be-77b1-6a8494384640

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 8, 2004 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 30, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Nov 1, 2022	n/a	yes	EDINA, MN\|Minnetonka, MN	Current employment
A•••• P•••• A•••••••	Former SEC adviser	Nov 5, 2018	Nov 2, 2022	no	MINNETONKA, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• P•••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Nov 2, 2022	Nov 1, 2022	-1	Firm change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	A•••• P•••• A•••••••	Feb 4, 2021	Nov 5, 2018

Relationships

Registered with (6)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 1, 2022 to presentfactForm ADV
→ A•••• P•••• A•••••••Registered adviserregistration: previous registration
Nov 5, 2018 to Nov 2, 2022factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 5, 2018 to Feb 4, 2021factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••

Dated events

Occurred
Nov 2, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5709ea05-c358-14be-77b1-6a8494384640
First observed: Apr 8, 2004
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.