DFX Intelligence

L•• A•• M••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

L•• A•• M••••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

MINNEAPOLIS, MN | Minneapolis, MN

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Search this name across graphsid dfx:ria:f340a3fe-84fe-136d-02f3-6fc5886511ef

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2019 to Sep 15, 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••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Mar 8, 2023	n/a	yes	MINNEAPOLIS, MN\|Minneapolis, MN	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jun 11, 2020	Jun 11, 2021	no	EDINA, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Jun 11, 2021	Mar 8, 2023	635	Firm change after gap	Ibd to ibd
M••••• S••••••	F••••••• P••••••• A•• W•••••••• A•••••••	Feb 10, 2020	Jun 11, 2020

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 8, 2023 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jun 11, 2020 to Jun 11, 2021factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Mar 22, 2019 to Feb 10, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f340a3fe-84fe-136d-02f3-6fc5886511ef
First observed: Mar 22, 2019
Last observed: Sep 15, 2026 7 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.