DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
RIVER FALLS, WI
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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | RIVER FALLS, WI | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Feb 3, 2022 | Mar 31, 2025 | no | RIVER FALLS, WI|COVINGTON, KY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| A••••••••• F•••••••• S•••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Dec 10, 2021 | Feb 3, 2022 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Apr 1, 2015 | Dec 10, 2021 | no | MINNEAPOLIS, MN | Previous registration |
| T••••••• I••••••••• M••••••••• I••• | Bd affiliated wealth | Nov 21, 2014 | Feb 17, 2015 | no | Minneapolis, MN|Hudson, WI|RIVER FALLS, WI | Previous registration |
| 55 |
| Firm change |
| Ibd to ibd |
| T••••••• I••••••••• M••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Feb 17, 2015 | Apr 1, 2015 | 43 | Firm change | Other |