DFX Intelligence

R•••• A••••• V•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)43 years in industry

R•••• A••••• V•••••••

Advisor at S••• I••••••••• C••••••

MANKATO, MN | SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:cfbff760-8079-3fcd-9b2f-610f8629f48f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2005 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: S••• I••••••••• C••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 6, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••• I••••••••• C••••••	Independent wealth	Dec 7, 2007	n/a	yes	SAN ANTONIO, TX\|MANKATO, MN	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Sep 19, 2005	Jul 10, 2007	no	MANKATO, MN\|MADISON, WI\|MANKATO, MN\|WAVERLY, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	S••• I••••••••• C••••••	Jul 10, 2007	Dec 7, 2007	150	Firm change	Other

Relationships

Registered with (2)

→ S••• I••••••••• C••••••Registered adviserregistration: current employment
Dec 7, 2007 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 19, 2005 to Jul 10, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cfbff760-8079-3fcd-9b2f-610f8629f48f
First observed: Sep 19, 2005
Last observed: Sep 15, 2026 7 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.