DFX Intelligence

S••••• S•••• H••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

S••••• S•••• H••••••••

Advisor at O•••• W•••••• I•••

PLYMOUTH, MN

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Search this name across graphsid dfx:ria:5b880644-f25f-8bd3-ca64-840e0b8e5759

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jan 17, 2014 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 7, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 3, 2022	n/a	yes	PLYMOUTH, MN	Current employment
F•••• F••••••••	Independent wealth	Oct 4, 2022	May 2, 2024	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• F••••••••	O•••• W•••••• I•••	May 2, 2024	Nov 3, 2022	-546	Firm change after gap	RIA to ibd
A••••••••• W••••• P•••••••	F•••• F••••••••	Oct 14, 2022	Oct 4, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
116140:23131:MN:2024-05-02	May 2, 2024	Nov 3, 2022	MINNEAPOLIS, MN	Firm change after gap
13572:113074:MN:2022-09-29	Oct 13, 2022	Mar 20, 2019	MINNETONKA, MN	Firm change after gap

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 3, 2022 to presentfactForm ADV
→ F•••• F••••••••Registered adviserregistration: previous registration
Oct 4, 2022 to May 2, 2024factForm ADV
→ A••••••••• W••••• P•••••••Registered adviserregistration: previous registration
Mar 20, 2019 to Oct 14, 2022factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
May 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 14, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 13, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b880644-f25f-8bd3-ca64-840e0b8e5759
First observed: Jan 17, 2014
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.