DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

J••••••• J•••• L•••••

Advisor at C••••••••• W••••• A•••••••• L••

MINNEAPOLIS, MN | Mankato, MN

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Search this name across graphsid dfx:ria:c9179901-a69e-5c5b-f7f5-70d2be71fda2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 9, 2013 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: C••••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom 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
C••••••••• W••••• A•••••••• L••	Bd affiliated wealth	Nov 20, 2017	n/a	yes	Mankato, MN\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	May 9, 2013	Nov 17, 2017	no	Mankato, MN\|Owatonna, MN\|Mankato, MN\|Fairmont, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	C••••••••• W••••• A•••••••• L••	Nov 17, 2017	Nov 20, 2017	3	Firm change	Other

Relationships

Registered with (2)

→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Nov 20, 2017 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
May 9, 2013 to Nov 17, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9179901-a69e-5c5b-f7f5-70d2be71fda2
First observed: May 9, 2013
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.