DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)15 years in industry

S••••• K• M••••••

Advisor at C••••••••• W••••• A•••••••• L••

Eau Claire, WI | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:5ed07c1c-0af1-1c02-4078-acb3555f723c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 8, 2021 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: C••••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• A•••••••• L••	Bd affiliated wealth	Jan 12, 2024	n/a	yes	MINNEAPOLIS, MN\|Eau Claire, WI	Current employment
A•••• W••••• M••••••••• L••	Independent wealth	Jul 8, 2021	Oct 3, 2023	no	APPLETON, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• W••••• M••••••••• L••	C••••••••• W••••• A•••••••• L••	Oct 3, 2023	Jan 12, 2024	101	Firm change	RIA to ibd

Relationships

Registered with (2)

→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jan 12, 2024 to presentfactForm ADV
→ A•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 8, 2021 to Oct 3, 2023factForm ADV

Dated events

Occurred
Oct 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ed07c1c-0af1-1c02-4078-acb3555f723c
First observed: Jul 8, 2021
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.