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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

C••••••••• P••• S••••••••

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

SAINT P•••, MN | ROSEMOUNT, MN

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Search this name across graphsid dfx:ria:74e628c1-e5b5-1e41-f8b3-7423eb26ad38

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2004 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 12, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2023	n/a	yes	SAINT P•••, MN\|ROSEMOUNT, MN	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jan 16, 2014	Aug 10, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
T••••••• I••••••••• M••••••••• I•••	S••••••• F•••••••• S•••••••• I•••	Jan 10, 2008

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 16, 2014 to Aug 10, 2023factForm ADV
→ T••••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Mar 31, 2004 to Jan 10, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74e628c1-e5b5-1e41-f8b3-7423eb26ad38
First observed: Mar 31, 2004
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.