DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

R••••••• L• C•••••••••

Advisor at N•• E••• W•••••

STAMFORD, CT | Wayzata, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a8f67a0d-0fea-e1fd-1ab6-9bf25e802f4d

Data as of Sep 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 6
On other graphs: 0
Observed: Nov 1, 2023 to Sep 23, 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•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Sep 14, 2026	n/a	yes	Wayzata, MN\|STAMFORD, CT	Current employment
N•• E••• W•••••	Bd affiliated wealth	Sep 14, 2026	n/a	yes	STAMFORD, CT\|Wayzata, MN	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	N•• E••• W•••••	Sep 22, 2026	Sep 14, 2026	-8	Firm change	Wirehouse to ibd
M••••• S••••••	U•• F•••••••• S••••••• I•••	Jul 22, 2026	Aug 11, 2026

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:307771:MN:2026-09-22	Sep 22, 2026	Sep 14, 2026	OTSEGO , MN	Firm change

Relationships

Registered with (4)

→ N•• E••• W•••••Registered adviserregistration: current employment
Sep 14, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Aug 11, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jan 24, 2025 to Jul 22, 2026factForm ADV
→ E••••• J••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 22, 2026
Advisor changed firm
••• Locked
Form ADVobserved today
Occurred
Jul 22, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 8, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Show 3 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a8f67a0d-0fea-e1fd-1ab6-9bf25e802f4d
First observed: Nov 1, 2023
Last observed: Sep 23, 2026 12 h 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.