DFX Intelligence
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Reading the graph
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Advisor at A•••• S•••••
EDEN PRAIRIE, 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 |
|---|---|---|---|---|---|---|
| A•••• S••••• | Independent wealth | Oct 16, 2019 | n/a | yes | EDEN PRAIRIE, MN | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 18, 2016 | Apr 2, 2020 | no | WOODBURY, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | A•••• S••••• | Apr 2, 2020 | Oct 16, 2019 | -169 | Firm change after gap | Ibd to new firm |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 18, 2016 |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Jul 1, 2014 | Sep 22, 2016 | no | Plymouth, MN|WOODBURY, MN|Plymouth, MN|EDEN PRAIRIE, MN | Previous registration |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Mar 12, 2002 | Jan 4, 2006 | no | MINNETONKA, MN | Previous registration |
| -157 |
| Bulk transfer |
| Other |
| V••• F•••••••• A•••••••• I••• | N•• A•••••• S•••••••• L•• | Jan 4, 2006 | Jul 1, 2014 | 3,100 | Firm change after gap | Other |