DFX Intelligence
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Reading the graph
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Advisor at L•• E••••••••• L••
CHASKA, MN | ST LOUIS PARK, 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 |
|---|---|---|---|---|---|---|
| L•• E••••••••• L•• | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | CHASKA, MN|ST LOUIS PARK, MN | Current employment |
| P•••• S••••••••• L•• | No RAUM reported | May 18, 2022 | Nov 14, 2024 | no | Chaska, MN|Chaska, MN|ST. LOUIS PARK, MN|ST. LOUIS PARK, MN|Chaska, MN|Eden Prairie, MN|ST. LOUIS PARK, MN|ST. LOUIS PARK, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• S••••••••• L•• | L•• E••••••••• L•• | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| A••••• F•••••••• S•••••••• I••• | P•••• S••••••••• L•• | Dec 7, 2021 | May 18, 2022 |
| Previous registration |
| A••••• F•••••••• S•••••••• I••• | Independent wealth | Mar 9, 2021 | Dec 7, 2021 | no | MINNEAPOLIS, MN | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 15, 2018 | Dec 31, 2020 | no | St Cloud, MN|ST. PAUL, MN | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 15, 2018 | Jan 11, 2021 | no | ST. CLOUD, MN|St. Paul, MN | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 29, 2018 | Jun 7, 2018 | no | St Paul, MN | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 21, 2012 | Aug 26, 2015 | no | MINNEAPOLIS, MN | Previous registration |
| P•••••••• S••••••••• I••• | Bd affiliated wealth | Aug 5, 2005 | Nov 18, 2011 | no | MINNETONKA, MN|LONG LAKE, MN|Minnetonka, MN | Previous registration |
| 162 |
| Firm change |
| RIA to ibd |
| T• A••••••••• I••• | A••••• F•••••••• S•••••••• I••• | Jan 11, 2021 | Mar 9, 2021 | 57 | Firm change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 31, 2020 | Oct 15, 2018 | -808 | Bulk transfer | Other |
| A••••••••• F•••••••• S•••••••• L•• | T• A••••••••• I••••••••• M••••••••• L•• | Jun 7, 2018 | Oct 15, 2018 | 130 | Firm change | Ibd to RIA |
| P•••••••• S••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Nov 18, 2011 | May 21, 2012 | 185 | Firm change | Other |