DFX Intelligence
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Reading the graph
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Advisor at G••••••• W••••• M•••••••••
ARDEN HILLS, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| G••••••• W••••• M••••••••• | Bd affiliated wealth | Jul 9, 2019 | n/a | yes | ARDEN HILLS, MN|ARDEN HILLS, MN|ARDEN HILLS, MN | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 11, 2017 | Jun 27, 2019 | no | Minneapolis, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | G••••••• W••••• M••••••••• | Jun 27, 2019 | Jul 9, 2019 | 12 | Firm change | Ibd to ibd |
| P•••• S••••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Apr 22, 2014 | Sep 11, 2017 |
| P•••• S••••••••• L•• | No RAUM reported | Apr 22, 2014 | Apr 22, 2014 | no | PLYMOUTH, MN|PLYMOUTH, MN|NEWARK, NJ|Plymouth, MN | Previous registration |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Nov 21, 2013 | Mar 26, 2014 | no | MAPLE GROVE, MN | Previous registration |
| E••••• J•••• | National bd RIA | Jan 22, 2013 | Feb 12, 2013 | no | ST LOUIS, MO | Previous registration |
| 1,238 |
| Firm change after gap |
| Other |
| C••••• A•••••• N••••••• L•• | P•••• S••••••••• L•• | Mar 26, 2014 | Apr 22, 2014 | 27 | Firm change | Other |
| E••••• J•••• | C••••• A•••••• N••••••• L•• | Feb 12, 2013 | Nov 21, 2013 | 282 | Firm change | Other |