DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

A•• M•••• S••••••••• N••••

Advisor at N•••••••• A•••• M•••••••••

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:a3a679d8-e395-ea3e-ec41-30bdbb06ce8f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 3, 2010 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•••••••• A•••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 23, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••••• A•••• M•••••••••	Independent wealth	Dec 4, 2015	n/a	yes	MINNEAPOLIS, MN	Current employment
F•••• N••••••• C•••••• M••••••• I•••	Former SEC adviser	Jun 3, 2010	Mar 14, 2013	no	YANKTON, SD	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• N••••••• C•••••• M••••••• I•••	N•••••••• A•••• M•••••••••	Mar 14, 2013	Dec 4, 2015	995	Firm change after gap	Other
C••••• I••••••••• S••••••• L••	F•••• N••••••• C•••••• M••••••• I•••	Jun 2, 2010	Jun 3, 2010

Relationships

Registered with (3)

→ N•••••••• A•••• M•••••••••Registered adviserregistration: current employment
Dec 4, 2015 to presentfactForm ADV
→ F•••• N••••••• C•••••• M••••••• I•••Registered adviserregistration: previous registration
Jun 3, 2010 to Mar 14, 2013factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
May 3, 2010 to Jun 2, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3a679d8-e395-ea3e-ec41-30bdbb06ce8f
First observed: May 3, 2010
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.