DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

M•••••• A•••••• F•••• S•••••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Shoreview, MN | Arden Hills, MN

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Search this name across graphsid dfx:ria:ad740a4f-6a39-10b2-f6bc-dc023aee46d2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2018 to Sep 15, 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 10, 2018	n/a	yes	Arden Hills, MN\|Shoreview, MN	Current employment
S••••••• F•••••••• L••	State registered	Apr 3, 2018	Sep 5, 2018	no	SHOREVIEW, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Sep 5, 2018	Sep 10, 2018	5	Firm change	Other

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 10, 2018 to presentfactForm ADV
→ S••••••• F•••••••• L••Registered adviserregistration: previous registration
Apr 3, 2018 to Sep 5, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad740a4f-6a39-10b2-f6bc-dc023aee46d2
First observed: Apr 3, 2018
Last observed: Sep 15, 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.