DFX Intelligence
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Reading the graph
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Advisor at F••••••••• P••••••• L••
ST ANTHONY, MN | MINNEAPOLIS, 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 |
|---|---|---|---|---|---|---|
| F••••••••• P••••••• L•• | State registered | Aug 12, 2024 | n/a | yes | MINNEAPOLIS, MN | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | May 13, 2024 | n/a | yes | MINNEAPOLIS, MN|ST ANTHONY, MN | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••••• W••••• P•••••••• L•• | L•• F•••••••• L•• | May 30, 2024 | May 13, 2024 | -17 | Firm change | RIA to ibd |
| A•••••••• P•••• I••• | G•••••• W••••• P•••••••• L•• | Dec 31, 2022 | Oct 6, 2022 |
| G•••••• W••••• P•••••••• L•• |
| Independent wealth |
| Oct 6, 2022 |
| May 30, 2024 |
| no |
| Minneapolis, MN|APPLETON, WI |
| Previous registration |
| A•••••••• P•••• I••• | Former SEC adviser | Jan 27, 2020 | Dec 31, 2022 | no | Minneapolis, MN|APPLETON, WI | Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | Mar 7, 2016 | Jan 29, 2020 | no | ST. PAUL, MN|LAKEVILLE, MN|SUPERIOR, WI|ASHLAND, WI|RICHFIELD, MN|Wayzata, MN|Minneapolis, MN | Previous registration |
| -86 |
| Bulk transfer |
| RIA to new firm |
| B•• H••••• F•••••••• A•••••••• I•• | A•••••••• P•••• I••• | Jan 29, 2020 | Jan 27, 2020 | -2 | Firm change | Ibd to RIA |