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

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RIA / WealthAdvisorChartered Financial Analyst23 years in industry

S••• P•••••• S••••

Advisor at A••••••••• I•••••••• W••••• M•••••••••

EDINA, MN

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Search this name across graphsid dfx:ria:f3301608-f309-97a1-ca14-12ceff3b2f1e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 28, 2003 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: A••••••••• I•••••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 24, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• I•••••••• W••••• M•••••••••	Independent wealth	Jan 30, 2014	n/a	yes	EDINA, MN	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jul 28, 2003	Dec 1, 2005	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	A••••••••• I•••••••• W••••• M•••••••••	Dec 1, 2005	Jan 30, 2014	2,982	Firm change after gap	Other

Relationships

Registered with (2)

→ A••••••••• I•••••••• W••••• M•••••••••Registered adviserregistration: current employment
Jan 30, 2014 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Jul 28, 2003 to Dec 1, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3301608-f309-97a1-ca14-12ceff3b2f1e
First observed: Jul 28, 2003
Last observed: Sep 14, 2026 8 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.