DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

J••••• S••••• P•••••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:675ff7b2-a31f-4012-69e7-d5c25663fd57

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2005 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 8, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	PLYMOUTH, MN\|PLYMOUTH, MN\|AMERY, WI\|HAM LAKE, MN	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Jan 7, 2014	Sep 5, 2025	no	Amery, WI\|SAVAGE, MN\|St Paul, MN\|Plymouth, MN\|DALLAS, TX\|Ham Lake, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
C••••••••• W••••• A•••••••• L••	A•••••• A••••••• S•••••••	Feb 12, 2009	Jan 7, 2014

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jan 7, 2014 to Sep 5, 2025factForm ADV
→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 12, 2008 to Feb 12, 2009factForm ADV
→ M•••••• W••••• M••••••••• G••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:675ff7b2-a31f-4012-69e7-d5c25663fd57
First observed: Jan 19, 2005
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.