DFX Intelligence
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Reading the graph
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Advisor at R••••• I••••••••• A•••••••• I••
WILMINGTON, DE | Plymouth, 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 |
|---|---|---|---|---|---|---|
| R••••• I••••••••• A•••••••• I•• | Bd affiliated wealth | Jun 24, 2026 | n/a | yes | Plymouth, MN|WILMINGTON, DE | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 27, 2017 | Jan 18, 2022 | no | Lutz, FL|FORT MILL, SC|PLYMOUTH, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | R••••• I••••••••• A•••••••• I•• | Jan 18, 2022 | Jun 24, 2026 | 1,618 | Firm change after gap | Ibd to ibd |
| I••••• F•••••••• C••••••••• | L•• F•••••••• L•• | Dec 31, 2016 | Jan 27, 2017 |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Apr 5, 2016 | Dec 31, 2016 | no | APPLETON, WI | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Aug 28, 2008 | Jul 22, 2010 | no | ENGLEWOOD, CO|ENGLEWOOD, CO | Previous registration |
| E••••• J•••• | National bd RIA | Dec 5, 2007 | Aug 1, 2008 | no | DENVER, CO|DENVER, CO|ST LOUIS, MO | Previous registration |
| 27 |
| Firm change |
| Other |
| C•••••• S••••• • C••• I••• | I••••• F•••••••• C••••••••• | Jul 22, 2010 | Apr 5, 2016 | 2,084 | Firm change after gap | Other |
| E••••• J•••• | C•••••• S••••• • C••• I••• | Aug 1, 2008 | Aug 28, 2008 | 27 | Firm change | Ibd to ibd |