DFX Intelligence

C••••••••• J••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C••••••••• J••• F•••••

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

St. Paul, MN | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:f4009792-4d6d-6884-76ae-5a4f9ceb075f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 25, 2016 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: Feb 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: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2023	n/a	yes	MINNEAPOLIS, MN\|St. Paul, MN	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jul 19, 2023	Aug 10, 2023	no	ST. PAUL, MN\|MINNEAPOLIS, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
L••••••• W••••• M••••••••• G••••	S••••••• F•••••••• S•••••••• I•••	Jul 14, 2023	Jul 19, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
304569:322210:MN:2022-08-15	Aug 15, 2022	Aug 1, 2022	MINNEAPOLIS, MN	Firm change

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 19, 2023 to Aug 10, 2023factForm ADV
→ L••••••• W••••• M••••••••• G••••Registered adviserregistration: previous registration
Aug 1, 2022 to Jul 14, 2023factForm ADV
→ T••••••• A•••••• N••••••• L••

Dated events

Occurred
Jul 14, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 15, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f4009792-4d6d-6884-76ae-5a4f9ceb075f
First observed: Apr 25, 2016
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.