DFX Intelligence

C••• D•••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant25 years in industry

C••• D•••• B••••••

Advisor at B••••• P••••• A•••••••• L••

Lake Elmo, MN | NEWPORT BEACH, CA

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:de163beb-7dcb-2e89-e691-e09d1ce060e3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 1, 2006 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: B••••• P••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 23, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••• P••••• A•••••••• L••	Independent wealth	Oct 24, 2024	n/a	yes	Lake Elmo, MN\|NEWPORT BEACH, CA	Current employment
L••••••• W••••• M••••••••• G••••	Former SEC adviser	Aug 1, 2022	Nov 14, 2024	no	LAKE ELMO, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• W••••• M••••••••• G••••	B••••• P••••• A•••••••• L••	Nov 14, 2024	Oct 24, 2024	-21	Firm change	RIA to RIA
T••••••• A•••••• N••••••• L••	L••••••• W••••• M••••••••• G••••	Aug 15, 2022	Aug 1, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
322210:119290:MN:2024-11-14	Nov 14, 2024	Oct 24, 2024	LAKE ELMO, MN	Firm change
304569:322210:MN:2022-08-15	Aug 15, 2022	Aug 1, 2022	LAKE ELMO, MN	Firm change
18387:304569:MN:2021-02-03	Feb 3, 2021	Dec 18, 2020	NORTH OAKS, MN	Firm change after gap

Relationships

Registered with (4)

→ B••••• P••••• A•••••••• L••Registered adviserregistration: current employment
Oct 24, 2024 to presentfactForm ADV
→ L••••••• W••••• M••••••••• G••••Registered adviserregistration: previous registration
Aug 1, 2022 to Nov 14, 2024factForm ADV
→ T••••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Dec 18, 2020 to Aug 15, 2022factForm ADV
→ T••••••• I••••••••• M••••••••• I•••

Dated events

Occurred
Nov 14, 2024
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 15, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:de163beb-7dcb-2e89-e691-e09d1ce060e3
First observed: May 1, 2006
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.