DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

A••••• M•••• U••••

Advisor at O•••• W•••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:938c9abe-0029-f5d7-9ece-192040335a06

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 27, 2018 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: Feb 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 4, 2025	n/a	yes	Minnetonka, MN\|DULUTH, MN\|Duluth, MN	Current employment
M•••••• P••••••••• P•••••••• L•••	Independent wealth	Jan 23, 2024	Aug 1, 2025	no	WAUSAU, WI\|DULUTH, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• P••••••••• P•••••••• L•••	O•••• W•••••• I•••	Aug 1, 2025	Aug 4, 2025	3	Firm change	RIA to ibd
O•••• W•••••• I•••	M•••••• P••••••••• P•••••••• L•••	Jan 17, 2024	Jan 23, 2024

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Sep 1, 2023 to Jan 17, 2024factForm ADV
→ M•••••• P••••••••• P•••••••• L•••Registered adviserregistration: previous registration
Jan 23, 2024 to Aug 1, 2025factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Jun 14, 2018 to Sep 1, 2023factForm ADV
→ P•••••••• S••••••••• I•••

Dated events

Occurred
Aug 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 17, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:938c9abe-0029-f5d7-9ece-192040335a06
First observed: Feb 27, 2018
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.