DFX Intelligence

m•••••• c••• m•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

m•••••• c••• m•••••

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

Minneapolis, MN | Santa Rosa, CA

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Search this name across graphsid dfx:ria:5adda947-ffc7-d8c2-5882-a80eed2d4ae7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2000 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 6, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Oct 29, 2024	n/a	yes	Minneapolis, MN\|Santa Rosa, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 8, 2011	Mar 15, 2018	no	MINNEAPOLIS, MN\|Minneapolis, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	A••••••••• F•••••••• S•••••••• L••	Dec 2, 2010	Aug 8, 2011	249	Firm change	Other
R•• C•••••• M••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Feb 18, 2010	Mar 8, 2010

Relationships

Registered with (5)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 8, 2011 to Mar 15, 2018factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Mar 8, 2010 to Dec 2, 2010factForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Jul 22, 2004 to Feb 18, 2010factForm ADV
→ A••••••••• A•••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5adda947-ffc7-d8c2-5882-a80eed2d4ae7
First observed: Mar 6, 2000
Last observed: Sep 15, 2026 7 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.