DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst15 years in industry

A•••• C••••••••• B•••••

Advisor at S••••••• P•••••••• L••

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:9d972a50-70ca-fb90-4164-20ac47a8786d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 1, 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: S••••••• P•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• P•••••••• L••	Institutional manager	Jul 31, 2024	n/a	yes	MINNEAPOLIS, MN	Current employment
W•••••• B•••• • C•••••• L•••••	Bd affiliated wealth	Aug 1, 2011	Jul 14, 2022	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• B•••• • C•••••• L•••••	S••••••• P•••••••• L••	Jul 14, 2022	Jul 31, 2024	748	Firm change after gap	Other

Relationships

Registered with (2)

→ S••••••• P•••••••• L••Registered adviserregistration: current employment
Jul 31, 2024 to presentfactForm ADV
→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: previous registration
Aug 1, 2011 to Jul 14, 2022factForm ADV

Dated events

Occurred
Jul 14, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d972a50-70ca-fb90-4164-20ac47a8786d
First observed: Aug 1, 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.