DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

M•••••• A•• M••••

Advisor at R•• C•••••• M••••••• L••

Lake Elmo, MN | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:fd8dd280-b7c3-8155-d47f-3a5564f1a631

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 21, 2004 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 21, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	May 8, 2017	n/a	yes	MINNEAPOLIS, MN\|Lake Elmo, MN	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 14, 2015	Apr 27, 2017	no	Minneapolis, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	R•• C•••••• M••••••• L••	Apr 27, 2017	May 8, 2017	11	Firm change	Ibd to ibd
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	A••••••••• F•••••••• S•••••••• L••	May 1, 2015	May 14, 2015

Relationships

Registered with (5)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
May 8, 2017 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 14, 2015 to Apr 27, 2017factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Aug 17, 2009 to May 1, 2015factForm ADV
→ I••••• F•••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd8dd280-b7c3-8155-d47f-3a5564f1a631
First observed: May 21, 2004
Last observed: Sep 15, 2026 8 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.