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

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

S•••• M•••••• B•••••••

Advisor at A••••••••• I••••••••• S•••••••• I•••

STEVENS POINT, WI | WAUSAU, WI | MINOCQUA, WI

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Search this name across graphsid dfx:ria:97de1f29-545f-ccba-317c-8f23ee3758f7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2014 to Sep 15, 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: A••••••••• I••••••••• S•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 6, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• I••••••••• S•••••••• I•••	Independent wealth	Jul 14, 2021	n/a	yes	STEVENS POINT, WI\|MINOCQUA, WI\|WAUSAU, WI	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Sep 21, 2015	Jul 16, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	A••••••••• I••••••••• S•••••••• I•••	Jul 16, 2021	Jul 14, 2021	-2	Firm change	Ibd to RIA
A••••••••• I••••••••• S•••••••• I•••	U••• B•••••• I••••••••• I•••	Jul 1, 2015

Relationships

Registered with (4)

→ A••••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 16, 2015 to Jul 1, 2015factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 21, 2015 to Jul 16, 2021factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 9, 2014 to Jan 8, 2015factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:97de1f29-545f-ccba-317c-8f23ee3758f7
First observed: Feb 10, 2014
Last observed: Sep 15, 2026 7 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.