DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

L•••• L•••••••• L••• M•••••••

Advisor at R•• C•••••• M••••••• L••

MINNEAPOLIS, MN | Saint Paul, MN

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Search this name across graphsid dfx:ria:5b2e08a7-7f8c-f818-041a-3f64755cc786

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Sep 25, 2020 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Nov 3, 2025	n/a	yes	MINNEAPOLIS, MN\|Saint Paul, MN	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Jul 8, 2024	Aug 15, 2025	no	Minneapolis, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	R•• C•••••• M••••••• L••	Aug 15, 2025	Nov 3, 2025	80	Firm change	Wirehouse to ibd
U•• F•••••••• S••••••• I•••	J••• M••••• S••••••••• L••	May 6, 2024	Jul 8, 2024

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Nov 3, 2025 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Jul 8, 2024 to Aug 15, 2025factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 25, 2020 to May 6, 2024factForm ADV

Dated events

Occurred
Aug 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 6, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b2e08a7-7f8c-f818-041a-3f64755cc786
First observed: Sep 25, 2020
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.