DFX Intelligence

R•••• C•••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

R•••• C•••••• R•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Wausau, WI

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Search this name across graphsid dfx:ria:6a93c48b-b0c7-8698-f59b-48d862e5e90d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Aug 30, 2022 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Mar 18, 2025	n/a	yes	Wausau, WI	Current employment
S•••••• P•••••••• L••	Independent wealth	Sep 29, 2023	Feb 13, 2025	no	ROTHSCHILD, WI\|OMAHA, NE	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• P•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Feb 13, 2025	Mar 18, 2025	33	Firm change	RIA to ibd
E•••• R••••••••• G••••	S•••••• P•••••••• L••	Mar 27, 2023	Sep 29, 2023

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 18, 2025 to presentfactForm ADV
→ S•••••• P•••••••• L••Registered adviserregistration: previous registration
Sep 29, 2023 to Feb 13, 2025factForm ADV
→ E•••• R••••••••• G••••Registered adviserregistration: previous registration
Aug 30, 2022 to Mar 27, 2023factForm ADV

Dated events

Occurred
Feb 13, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a93c48b-b0c7-8698-f59b-48d862e5e90d
First observed: Aug 30, 2022
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.