DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

L••••• R••••• S•••

Advisor at P•••••••• A•••••••

ROCHESTER, MN

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Search this name across graphsid dfx:ria:7a59f1e7-e1be-c5dc-fc2a-fdb20fead4c0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Nov 1, 1985 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: P•••••••• A•••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 1, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Current registrations: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• A•••••••	National bd RIA	Dec 5, 2013	n/a	yes	ROCHESTER, MN	Current employment

Relationships

Registered with (1)

→ P•••••••• A•••••••Registered adviserregistration: current employment
Dec 5, 2013 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a59f1e7-e1be-c5dc-fc2a-fdb20fead4c0
First observed: Nov 1, 1985
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.