DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

A•••• M•••••• L•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Northfield, MN

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Search this name across graphsid dfx:ria:d3fa2580-adda-edb3-5c77-f90f7b3ff241

Data as of Sep 14, 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: 3
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2017 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Feb 15, 2024	n/a	yes	Northfield, MN	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Apr 30, 2018	Feb 23, 2024	no	NORTHFIELD, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Feb 23, 2024	Feb 15, 2024	-8	Firm change	Ibd to ibd
V••• F•••••••• A•••••••• I•••	S••••••••• A•••••• A•••••••• I•••	May 1, 2018	Apr 30, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
110518:134139:MN:2024-02-23	Feb 23, 2024	Feb 15, 2024	NORTHFIELD, MN	Firm change
2882:110518:MN:2018-05-01	May 1, 2018	Apr 30, 2018	NORTHFIELD, MN	Firm change

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Feb 15, 2024 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 30, 2018 to Feb 23, 2024factForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 30, 2017 to May 1, 2018factForm ADV

Dated events

Occurred
Feb 23, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3fa2580-adda-edb3-5c77-f90f7b3ff241
First observed: Jun 30, 2017
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.