DFX Intelligence
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Reading the graph
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Advisor at U••• B•••••• A•••••••• L••
Minneapolis, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Feb 13, 2026 | n/a | yes | Minneapolis, MN | Current employment |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Jan 16, 2025 | Feb 13, 2026 | no | Minneapolis, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | U••• B•••••• A•••••••• L•• | Feb 13, 2026 | Feb 13, 2026 | 0 | Bulk transfer | Ibd to ibd |
| U•• F•••••••• S••••••• I••• | U••• B•••••• I••••••••• I••• | Sep 4, 2014 | Apr 15, 2016 |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Apr 15, 2016 | Mar 12, 2024 | no | Saint Paul, MN|Saint Paul, MN|Minneapolis, MN | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Feb 3, 2014 | Sep 4, 2014 | no | WEEHAWKEN, NJ|MINNEAPOLIS, MN|WEEHAWKEN, NJ|WEEHAWKEN, NJ | Previous registration |
| 589 |
| Firm change after gap |
| Other |