DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

D•••• A•••• M•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

West Fargo, ND

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Oct 19, 2021 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 31, 2026	n/a	yes	West Fargo, ND	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Feb 14, 2024	Aug 17, 2026	no	FARGO, ND	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Aug 17, 2026	Jul 31, 2026	-17	Firm change	Ibd to ibd
E••••• J••••	L•• F•••••••• L••	Jun 13, 2023	Feb 14, 2024

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 31, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 14, 2024 to Aug 17, 2026factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Oct 19, 2021 to Jun 13, 2023factForm ADV

Dated events

Order

Occurred
17 Aug 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Jun 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 19, 2021
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.