DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A•••••••• I•••
Edina, 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 |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | No RAUM reported | Sep 15, 2025 | n/a | yes | Edina, MN | Current employment |
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Aug 16, 2024 | Aug 29, 2025 | no | Glendale, CA|Minneapolis, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | U••• B•••••• A•••••••• L•• | Aug 29, 2025 | Aug 16, 2024 | -378 | Firm change after gap | Ibd to ibd |
| U••• B•••••• A•••••••• L•• | S••••• W••••• A•••••••• I••• | Aug 29, 2025 | Sep 15, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:167886:MN:2015-10-28 | Oct 28, 2015 | Jan 24, 2014 | PLYMOUTH, MN | Firm change after gap |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Jun 5, 2024 | Aug 29, 2025 | no | Minneapolis, MN|Chaska, MN | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Dec 19, 2016 | Mar 16, 2017 | no | EDINA, MN | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Nov 17, 2015 | Dec 21, 2016 | no | GOLDEN VALLEY, MN | Previous registration |
| V•••••• P•••• W••••• M••••••••• | Independent wealth | Jan 24, 2014 | Nov 23, 2015 | no | PLYMOUTH, MN | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 20, 2013 | Oct 28, 2015 | no | ROSEVILLE, MN|EDINA, MN|PLYMOUTH, MN | Previous registration |
| I•••••••• F•••••••• G•••• | Former SEC adviser | Sep 26, 2011 | Jul 3, 2012 | no | MINNEAPOLIS, MN|PLYMOUTH, MN | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Aug 31, 2009 | Aug 23, 2011 | no | MINNEAPOLIS, MN|MINNEAPOLIS, MN | Previous registration |
| 17 |
| Firm change |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | U••• B•••••• I••••••••• I••• | Mar 16, 2017 | Jun 5, 2024 | 2,638 | Firm change after gap | Ibd to ibd |
| W••••••• F•••••••• S•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Dec 21, 2016 | Dec 19, 2016 | -2 | Firm change | Other |
| V•••••• P•••• W••••• M••••••••• | W••••••• F•••••••• S•••••••• I••• | Nov 23, 2015 | Nov 17, 2015 | -6 | Firm change | Other |
| L•• F•••••••• L•• | V•••••• P•••• W••••• M••••••••• | Oct 28, 2015 | Jan 24, 2014 | -642 | Firm change after gap | Other |
| I•••••••• F•••••••• G•••• | L•• F•••••••• L•• | Jul 3, 2012 | Dec 20, 2013 | 535 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | I•••••••• F•••••••• G•••• | Aug 23, 2011 | Sep 26, 2011 | 34 | Firm change | Other |