L•••• I•••••

Advisor at P•••••••• A•••••••

SAINT PAUL, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:898de569-ebb7-2e79-7ab1-55541f40cc5a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 0
Observed: Jan 22, 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: P•••••••• A•••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 15, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• A•••••••	National bd RIA	Aug 27, 2026	n/a	yes	SAINT PAUL, MN	Current employment
A••••••• F•••••••• A•••••••• L••	Bd affiliated wealth	Apr 29, 2024	Sep 5, 2024	no	Saint Paul, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• F•••••••• A•••••••• L••	P•••••••• A•••••••	Sep 5, 2024	Aug 27, 2026	721	Firm change after gap	Ibd to ibd
E•••••• F•••••••• E••••••	A••••••• F•••••••• A•••••••• L••	Apr 26, 2024	Apr 29, 2024

Relationships

Registered with (7)

→ P•••••••• A•••••••Registered adviserregistration: current employment
Aug 27, 2026 to presentfactForm ADV
→ A••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 29, 2024 to Sep 5, 2024factForm ADV
→ E•••••• F•••••••• E••••••Registered adviserregistration: previous registration
Nov 20, 2023 to Apr 26, 2024factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Sep 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 26, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 24, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 2, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:898de569-ebb7-2e79-7ab1-55541f40cc5a
First observed: Jan 22, 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.