DFX Intelligence

M•••••• P•••••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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

M•••••• P•••••• B•••••

Advisor at C••••• I••••••••• A••••••• L••

BLOOMINGTON, MN | MINNEAPOLIS, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2001 to Sep 14, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 31, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	MINNEAPOLIS, MN\|BLOOMINGTON, MN	Current employment
B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	Nov 19, 2008	Oct 13, 2016	no	MINNEAPOLIS, MN\|Cedar Rapids, IA\|MINNEAPOLIS, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Oct 13, 2016	Jun 29, 2023	2,450	Firm change after gap	Other
P••••••• F•••••••• S•••••••• I•••	B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••	Dec 12, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
13609:105644:MN:2016-10-12	Oct 13, 2016	Jun 29, 2023	MINNEAPOLIS, MN	Firm change after gap

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 19, 2008 to Oct 13, 2016factForm ADV
→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 15, 2008 to Dec 12, 2008factForm ADV
→ N••••••• A•••• M••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 26, 2001
Last observed: Sep 14, 2026 9 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.