DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

S•••• M••••••• B•••••••

Advisor at O•••• W•••••• I•••

SABIN, MN

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Search this name across graphsid dfx:ria:8c9cdd14-4b6d-1e16-018d-17a3ae06753e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 14, 2016 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 8, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 19, 2024	n/a	yes	SABIN, MN	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Oct 21, 2022	Jan 19, 2024	no	SABIN, MN\|LAKE ELMO, MN\|SABIN, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
C••••••• S••••••••• L••	W••••••• F•••••••• S•••••••• I•••	Nov 1, 2022	Oct 21, 2022

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 21, 2022 to Jan 19, 2024factForm ADV
→ C••••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 22, 2017 to Nov 1, 2022factForm ADV

Dated events

Occurred
Nov 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c9cdd14-4b6d-1e16-018d-17a3ae06753e
First observed: Mar 14, 2016
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.