DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)46 years in industry

S••••• M•••••• L•••

Advisor at A••••••• F•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f5ce91b2-1f7e-cd39-3e5a-62cf885698d7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 29, 2008 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•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 28, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• C••••• S•••••••• L••	Bd affiliated wealth	Jul 3, 2019	n/a	yes	St. Louis Park, MN\|Appleton, WI	Current employment
A••••••• F•••••••• L••	Independent wealth	Jan 23, 2014	n/a	yes	ST. LOUIS PARK, MN\|ST. LOUIS PARK, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	A••••••• F•••••••• L••	May 16, 2017	Jan 23, 2014	-1,209	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:113200:MN:2017-05-15	May 16, 2017	Jan 23, 2014	MINNETONKA, MN	Firm change after gap

Relationships

Registered with (3)

→ P•••••• C••••• S•••••••• L••Registered adviserregistration: current employment
Jul 3, 2019 to presentfactForm ADV
→ A••••••• F•••••••• L••Registered adviserregistration: current employment
Jan 23, 2014 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Apr 29, 2008 to May 16, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5ce91b2-1f7e-cd39-3e5a-62cf885698d7
First observed: Apr 29, 2008
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.