DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

O••• A•••••••••

Advisor at C••••••••• W••••• A•••••••• L••

MINNEAPOLIS, MN | Atlanta, GA

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Search this name across graphsid dfx:ria:fb2985b4-635e-102a-19cb-2ee91844f882

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 16, 2013 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••••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 19, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• A•••••••• L••	Bd affiliated wealth	Mar 21, 2022	n/a	yes	MINNEAPOLIS, MN\|Atlanta, GA\|MINNEAPOLIS, MN	Current employment
C•••••• C•••••• M••••••••• L••	Former SEC adviser	May 3, 2019	Mar 25, 2022	no	NORTHFIELD, MN\|Bloomington, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• C•••••• M••••••••• L••	C••••••••• W••••• A•••••••• L••	Mar 25, 2022	Mar 21, 2022	-4	Firm change	RIA to ibd
A••••••• F•••••••• L••	C•••••• C•••••• M••••••••• L••	Mar 28, 2019	May 3, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:113200:MN:2017-05-15	May 16, 2017	Feb 27, 2014	MINNETONKA, MN	Firm change after gap

Relationships

Registered with (5)

→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Mar 21, 2022 to presentfactForm ADV
→ C•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
May 3, 2019 to Mar 25, 2022factForm ADV
→ A••••••• F•••••••• L••Registered adviserregistration: previous registration
Feb 27, 2014 to Mar 28, 2019factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
Mar 25, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb2985b4-635e-102a-19cb-2ee91844f882
First observed: Nov 16, 2013
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.