DFX Intelligence

C••••• D•••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

C••••• D•••• B•••••

Advisor at C••••• I••••••••• A••••••• L••

SOUTH HAVEN, MN | ST CLOUD, MN

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Search this name across graphsid dfx:ria:b9b0a786-0f25-f49b-93fc-be6ede061929

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2011 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 9, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 21, 2024	n/a	yes	ST CLOUD, MN\|SOUTH HAVEN, MN	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 28, 2014	Sep 29, 2021	no	ST CLOUD, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• S••••••• L••	C••••• I••••••••• A••••••• L••	Jan 31, 2014	Jan 28, 2014	-3	Bulk transfer	Other
G••••• W••••• M••••••••• I•••	C••••• I••••••••• S••••••• L••	Nov 20, 2012	Dec 11, 2012

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 28, 2014 to Sep 29, 2021factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Dec 11, 2012 to Jan 31, 2014factForm ADV
→ G••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Mar 18, 2011 to Nov 20, 2012factForm ADV
→ N•••••• F•••••••• G••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9b0a786-0f25-f49b-93fc-be6ede061929
First observed: Feb 9, 2011
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.