DFX Intelligence

H•••••• D•••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

H•••••• D•••• K••••••

Advisor at S•••••••• A••••••• L••

EDINA, MN | APPLE VALLEY, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d9dd4d10-800c-4ce5-4d9b-3f30ddce7549

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 27, 2023 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	APPLE VALLEY, MN\|EDINA, MN	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Sep 6, 2024	Mar 31, 2025	no	EDINA, MN\|LAKEVILLE, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
R••••••••• C•••••• M••••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jun 25, 2024	Sep 6, 2024

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Sep 6, 2024 to Mar 31, 2025factForm ADV
→ R••••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 27, 2023 to Jun 25, 2024factForm ADV

Dated events

Occurred
Jun 25, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9dd4d10-800c-4ce5-4d9b-3f30ddce7549
First observed: Oct 27, 2023
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.