DFX Intelligence

B•••• T••• N••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)38 years in industry

B•••• T••• N••••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 20, 2002 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 22, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Dec 15, 2025	n/a	yes	Stillwater, MN\|Fort Collins, CO\|Rice Lake, WI	Current employment
W••••• M••••••••• G••••• L••	Former SEC adviser	Jul 9, 2019	Dec 22, 2021	no	Rice Lake, WI\|CUMBERLAND, WI

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	W••••• M••••••••• G••••• L••	Dec 18, 2025	Jan 12, 2015	-3,993	Firm change after gap	Other
W••••• M••••••••• G••••• L••	C••••• I••••••••• A••••••• L••	Dec 22, 2021	Dec 15, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
173629:105644:WI:2021-12-22	Dec 22, 2021	Dec 15, 2025	RICE LAKE, WI	Firm change after gap

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Dec 15, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 20, 2002 to Dec 18, 2025factForm ADV
→ W••••• M••••••••• G••••• L••Registered adviserregistration: previous registration
Jul 9, 2019 to Dec 22, 2021factForm ADV

Dated events

Order

Occurred
18 Dec 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 20, 2002
Last observed: Sep 15, 2026 8 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.