DFX Intelligence

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

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RIA / WealthAdvisor30 years in industry

A••• L•••• C••••••

Advisor at U••••• A••••••• A••••••

PROSPER, TX | St. Paul, MN

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Search this name across graphsid dfx:ria:97eb630f-686e-2cad-3896-5393f0f901a0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 5, 2013 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: U••••• A••••••• A••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 22, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• A••••••• A••••••	Independent wealth	Jul 3, 2019	n/a	yes	St. Paul, MN\|PROSPER, TX	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jul 5, 2013	May 2, 2019	no	Saint Paul, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••••• A••••••• A••••••	May 2, 2019	Jul 3, 2019	62	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ U••••• A••••••• A••••••Registered adviserregistration: current employment
Jul 3, 2019 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 5, 2013 to May 2, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:97eb630f-686e-2cad-3896-5393f0f901a0
First observed: Jul 5, 2013
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.