DFX Intelligence

N••••• P••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner33 years in industry

N••••• P••• S•••••

Advisor at N••••••• I••••••••• M••••••••• I•••

MINNEAPOLIS, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2007 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: N••••••• I••••••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 8, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••••••• I••••••••• M••••••••• I•••	Independent wealth	Jun 26, 2024	n/a	yes	MINNEAPOLIS, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jun 17, 2022	May 24, 2024	no	Minneapolis, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	N••••••• I••••••••• M••••••••• I•••	May 24, 2024	Jun 26, 2024	33	Firm change	Ibd to RIA
J••• M••••• S••••••••• L••	U••• B•••••• I••••••••• I•••	Apr 15, 2021	Jun 17, 2022

Relationships

Registered with (6)

→ N••••••• I••••••••• M••••••••• I•••Registered adviserregistration: current employment
Jun 26, 2024 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 17, 2022 to May 24, 2024factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 18, 2018 to Apr 15, 2021factForm ADV
→ I•• P•••••• W••••• P•••••••• L••

Dated events

Order

Occurred
24 May 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 28, 2007
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.