DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

P•••••• R••• W•••••

Advisor at T••••••• I••••••••• M••••••••• I•••

MINNEAPOLIS, MN | Heath, TX

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Search this name across graphsid dfx:ria:72591963-5950-b084-f498-cff35f931829

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 12, 2007 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: T••••••• I••••••••• M••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••• I••••••••• M••••••••• I•••	Bd affiliated wealth	Jun 11, 2021	n/a	yes	Heath, TX\|MINNEAPOLIS, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jan 26, 2018	May 27, 2021	no	Saint Paul, MN\|Heath, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	T••••••• I••••••••• M••••••••• I•••	May 27, 2021	Jun 11, 2021	15	Firm change	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	U••• B•••••• I••••••••• I•••	Dec 18, 2017	Jan 26, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
6363:17868:MN:2017-12-05	Dec 18, 2017	Jan 26, 2018	NEW BRIGHTON, MN	Firm change

Relationships

Registered with (3)

→ T••••••• I••••••••• M••••••••• I•••Registered adviserregistration: current employment
Jun 11, 2021 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jan 26, 2018 to May 27, 2021factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 12, 2007 to Dec 18, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72591963-5950-b084-f498-cff35f931829
First observed: Nov 12, 2007
Last observed: Sep 14, 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.