DFX Intelligence

C•••• E•••••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

C•••• E•••••• K•••••••

Advisor at A••••••••• I••••••••• S•••••••• I•••

GREEN BAY, WI | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:dd173c23-2be0-4b16-5b28-51ec35ed541b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 2, 2008 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••••••••• I••••••••• S•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 2, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• I••••••••• S•••••••• I•••	Independent wealth	Mar 7, 2026	n/a	yes	MINNEAPOLIS, MN\|GREEN BAY, WI	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jun 2, 2008	Sep 12, 2025	no	Bloomington, MN\|BLOOMINGTON, MN\|White Bear Lake, MN\|Saint Paul, MN\|Maplewood, MN\|Shoreview, MN\|Blaine, MN\|Roseville, MN\|EDINA, MN\|NEW PRAGUE, MN\|BURNSVILLE, MN\|ROSEVILLE, MN\|LAMBERTON, MN\|Saint Paul, MN\|SAINT PAUL, MN\|NORTH BRANCH, MN\|EAGAN, MN\|Minneapolis, MN\|Saint Paul, MN\|Saint Paul, MN\|Elk River, MN\|Minneapolis, MN\|Saint Paul, MN\|Elk River, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	A••••••••• I••••••••• S•••••••• I•••	Sep 12, 2025	Mar 7, 2026	176	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ A••••••••• I••••••••• S•••••••• I•••Registered adviserregistration: current employment
Mar 7, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 2, 2008 to Sep 12, 2025factForm ADV

Dated events

Occurred
Sep 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd173c23-2be0-4b16-5b28-51ec35ed541b
First observed: Jun 2, 2008
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.