DFX Intelligence

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

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

L••••• A•• B•••••••

Advisor at C••••• • A••••••••• I•••

New Ulm, MN | TAMPA, FL

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Search this name across graphsid dfx:ria:cab4bfff-b7ca-339a-8d3d-d77dbeb31668

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 9, 2016 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••••• • A••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• • A••••••••• I•••	Independent wealth	Jul 9, 2019	n/a	yes	TAMPA, FL\|New Ulm, MN	Current employment
C•••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jun 9, 2016	Jul 9, 2019	no	NEW ULM, MN\|Minot, ND

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• F•••••••• S•••••••• I•••	C••••• • A••••••••• I•••	Jul 9, 2019	Jul 9, 2019	0	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
8408:20999:ND:2019-06-28	Jul 9, 2019	Jul 9, 2019	MINOT, ND	Firm change

Relationships

Registered with (2)

→ C••••• • A••••••••• I•••Registered adviserregistration: current employment
Jul 9, 2019 to presentfactForm ADV
→ C•••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 9, 2016 to Jul 9, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cab4bfff-b7ca-339a-8d3d-d77dbeb31668
First observed: Jun 9, 2016
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.