DFX Intelligence

I••••• E•••••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner19 years in industry

I••••• E•••••••• S••••••

Advisor at C••••• F••••••••• L••

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, 6:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2010 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••••• F••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 30, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• F••••••••• L••	Independent wealth	Jun 15, 2018	n/a	yes	MINNEAPOLIS, MN	Current employment
C•• S••••••••• L••	Former SEC adviser	Jan 16, 2014	Jul 6, 2018	no	MINNEAPOLIS, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C•• S••••••••• L••	Jul 6, 2018	Jan 16, 2014	-1,632	Channel change	Other
C•• S••••••••• L••	S••••••• F•••••••• S•••••••• I•••	Jul 6, 2018	Jan 16, 2014

Relationships

Registered with (4)

→ C••••• F••••••••• L••Registered adviserregistration: current employment
Jun 15, 2018 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 16, 2014 to Jul 6, 2018factForm ADV
→ C•• S••••••••• L••Registered adviserregistration: previous registration
Jan 16, 2014 to Jul 6, 2018factForm ADV
→ U••• B•••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 3, 2010
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.