DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
GLENWOOD, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | GLENWOOD, MN | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Dec 23, 2015 | Sep 5, 2025 | no | Glenwood, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | C••••• I••••••••• A••••••• L•• | Sep 5, 2025 | Sep 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| C••••••• S••••••••• L•• | A•••••• A••••••• S••••••• | Dec 21, 2015 | Dec 23, 2015 |
| C••••••• S••••••••• L•• | Bd affiliated wealth | Oct 29, 2009 | Dec 21, 2015 | no | MINNEAPOLIS, MN|GLENWOOD, MN|MINNEAPOLIS, MN | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 28, 2008 | Nov 19, 2009 | no | BLOOMINGTON, MN | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 11, 2008 | Dec 2, 2008 | no | BLOOMINGTON, MN | Previous registration |
| 2 |
| Firm change |
| Other |
| U•• F•••••••• S••••••• I••• | C••••••• S••••••••• L•• | Nov 19, 2009 | Oct 29, 2009 | -21 | Firm change | Other |
| M••••• S•••••• • C•• L•• | U•• F•••••••• S••••••• I••• | Dec 2, 2008 | Nov 28, 2008 | -4 | Bulk transfer | Other |