DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

C••••••••• M••••• C•••••••

Advisor at U••• B•••••• A•••••••• L••

Saint Paul, MN

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Search this name across graphsid dfx:ria:8ca44278-290f-9721-4760-0e53553f6b01

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Dec 16, 2011 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: U••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 5, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom 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
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Sep 22, 2025	n/a	yes	Saint Paul, MN\|Saint Paul, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Dec 16, 2011	Apr 10, 2026	no	Saint Paul, MN\|Cincinnati, OH\|Saint Paul, MN\|Saint Paul, MN\|Saint Paul, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Apr 10, 2026	Sep 22, 2025	-200	Firm change after gap	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
17868:14455:MN:2026-04-07	Apr 10, 2026	Sep 22, 2025	SAINT PAUL, MN	Firm change after gap

Relationships

Registered with (2)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Sep 22, 2025 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 16, 2011 to Apr 10, 2026factForm ADV

Dated events

Occurred
Apr 10, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ca44278-290f-9721-4760-0e53553f6b01
First observed: Dec 16, 2011
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.