DFX Intelligence

T••••• J••••• D•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

T••••• J••••• D•••••••

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

SAINT PAUL, MN | MINNETONKA, MN

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Search this name across graphsid dfx:ria:7a2400ea-eccd-8327-2456-cad78654cd9a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 23, 2014 to Sep 15, 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 public••• Locked
Industry start: Sep 7, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	MINNETONKA, MN\|SAINT PAUL, MN\|MINNETONKA, MN	Current employment
A••••••• F•••••••• L••	Independent wealth	Jan 23, 2014	Aug 25, 2015	no	ST. LOUIS PARK, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• F•••••••• L••	C••••• I••••••••• A••••••• L••	Aug 25, 2015	Jun 29, 2023	2,865	Firm change after gap	Other

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ A••••••• F•••••••• L••Registered adviserregistration: previous registration
Jan 23, 2014 to Aug 25, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a2400ea-eccd-8327-2456-cad78654cd9a
First observed: Jan 23, 2014
Last observed: Sep 15, 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.