DFX Intelligence

K••••• M••••••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialist26 years in industry

K••••• M••••••• S•••••••

Advisor at S••••• W••••• M•••••••••

ROCKFORD, IL | St Paul, MN

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Search this name across graphsid dfx:ria:872c47e7-6645-81bd-dfe9-95188b4af1aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 17, 2014 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 27, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Sep 3, 2025	n/a	yes	St Paul, MN\|ROCKFORD, IL	Current employment
P••••••••• P•••••••• L••	Former SEC adviser	Feb 17, 2014	Oct 20, 2025	no	ST. PAUL, MN\|St. Paul, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• P•••••••• L••	S••••• W••••• M•••••••••	Oct 20, 2025	Sep 3, 2025	-47	Firm change after gap	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
145743:107271:MN:2025-10-20	Oct 20, 2025	Sep 3, 2025	ST PAUL, MN	Firm change after gap

Relationships

Registered with (2)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Sep 3, 2025 to presentfactForm ADV
→ P••••••••• P•••••••• L••Registered adviserregistration: previous registration
Feb 17, 2014 to Oct 20, 2025factForm ADV

Dated events

Occurred
Oct 20, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:872c47e7-6645-81bd-dfe9-95188b4af1aa
First observed: Feb 17, 2014
Last observed: Sep 14, 2026 9 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.