DFX Intelligence

M••• S••••• U•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

M••• S••••• U•••

Advisor at A••••••• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:d4603786-61e6-852e-7aa5-3b731c7dfd17

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 4, 2016 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: A••••••• F•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 17, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• C••••• S•••••••• L••	Bd affiliated wealth	Jul 10, 2019	n/a	yes	St. Louis Park, MN\|Appleton, WI	Current employment
A••••••• F•••••••• L••	Independent wealth	Mar 15, 2016	n/a	yes	ST. LOUIS PARK, MN	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	A••••••• F•••••••• L••	May 16, 2017	Mar 15, 2016	-427	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:113200:MN:2017-05-15	May 16, 2017	Mar 15, 2016	ST LOUIS PARK, MN	Firm change after gap

Relationships

Registered with (3)

→ P•••••• C••••• S•••••••• L••Registered adviserregistration: current employment
Jul 10, 2019 to presentfactForm ADV
→ A••••••• F•••••••• L••Registered adviserregistration: current employment
Mar 15, 2016 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 4, 2016 to May 16, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4603786-61e6-852e-7aa5-3b731c7dfd17
First observed: Mar 4, 2016
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.