DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
SAINT PAUL, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | SAINT PAUL, MN | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 24, 2024 | Sep 5, 2025 | no | DALLAS, TX|SAINT PAUL, MN |
| 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 |
| O•••• W•••••• I••• | A•••••• A••••••• S••••••• | Oct 29, 2024 | Oct 24, 2024 |
| O•••• W•••••• I••• | Bd affiliated wealth | Feb 6, 2020 | Oct 29, 2024 | no | SAINT PAUL, MN|NEW YORK, NY|ST PAUL, MN | Previous registration |
| A••••••••• W••••• P••••••• | Independent wealth | Nov 19, 2013 | Feb 7, 2020 | no | MINNETONKA, MN|West Saint Paul, MN | Previous registration |
| R••••••• C••••• A••••••• S••••••• | Former SEC adviser | Mar 9, 2011 | Jul 24, 2012 | no | ST. PAUL, MN|NEW WOODSTOCK, NY | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 5, 2009 | Mar 14, 2011 | no | EDINA, MN | Previous registration |
| A••••••••• A•••••• S•••••••• I••• | n/a | Apr 21, 2009 | Oct 5, 2009 | no | LAKE ELMO, MN | Previous registration |
| -5 |
| Firm change |
| Ibd to ibd |
| A••••••••• W••••• P••••••• | O•••• W•••••• I••• | Feb 7, 2020 | Feb 6, 2020 | -1 | Firm change | RIA to ibd |
| R••••••• C••••• A••••••• S••••••• | A••••••••• W••••• P••••••• | Jul 24, 2012 | Nov 19, 2013 | 483 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | R••••••• C••••• A••••••• S••••••• | Mar 14, 2011 | Mar 9, 2011 | -5 | Firm change | Other |
| A••••••••• A•••••• S•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Oct 5, 2009 | Oct 5, 2009 | 0 | Bulk transfer | Other |