DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

L•••• T•••••• P•••

Advisor at T••••••••• R••••••••• A•••••••• L••

Hastings, MN

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Search this name across graphsid dfx:ria:5ba15f82-85d9-f3cc-cd87-b75e58524ab1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2009 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: T••••••••• R••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 3, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• R••••••••• A•••••••• L••	Bd affiliated wealth	Jan 2, 2014	n/a	yes	Hastings, MN	Current employment
T••••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Jul 27, 2009	Dec 31, 2013	no	CEDAR RAPIDS, IA\|ST. PAUL, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••••• F•••••••• A•••••••• L••	T••••••••• R••••••••• A•••••••• L••	Dec 31, 2013	Jan 2, 2014	2	Firm change	Other

Relationships

Registered with (2)

→ T••••••••• R••••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 2, 2014 to presentfactForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 27, 2009 to Dec 31, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ba15f82-85d9-f3cc-cd87-b75e58524ab1
First observed: Jul 27, 2009
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.