DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D•••••••• A••••••• S•••••••• L••
SOUTH JORDAN, UT | RIVER FALLS, WI
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 |
|---|---|---|---|---|---|---|
| D•••••••• W••••• M••••••••• L•• | Independent wealth | Apr 15, 2025 | n/a | yes | RIVER FALLS, WI|SOUTH JORDAN, UT | Current employment |
| D•••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 15, 2025 | n/a | yes | SOUTH JORDAN, UT|RIVER FALLS, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | D•••••••• A••••••• S•••••••• L•• | Apr 10, 2025 | Apr 15, 2025 | 5 | Firm change | Ibd to ibd |
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 |
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 19, 2024 | Apr 10, 2025 | no | SCOTTSDALE, AZ|Scottsdale, AZ|SCOTTSDALE, AZ | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 14, 2015 | Jan 19, 2024 | no | OAKDALE, MN | Previous registration |
| C•• S••••••••• L•• | Former SEC adviser | Apr 17, 2014 | Jan 15, 2015 | no | ST PAUL, MN | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Apr 17, 2014 | Jan 15, 2015 | no | ST PAUL, MN | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 16, 2014 | Apr 9, 2014 | no | OAKDALE, MN | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| C•• S••••••••• L•• | S••••••• F•••••••• S•••••••• I••• | Jan 15, 2015 | Apr 17, 2014 | -273 | Firm change after gap | Other |
| S••••••• F•••••••• S•••••••• I••• | C•• S••••••••• L•• | Jan 15, 2015 | Apr 17, 2014 | -273 | Channel change | Other |
| W••••••• F•••••••• S•••••••• I••• | C•• S••••••••• L•• | Apr 9, 2014 | Apr 17, 2014 | 8 | Firm change | Other |