DFX Intelligence

U••••••• W••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

U••••••• W••••• P•••••••• L••

CRD 288676

ANKENY, IA

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Search this name across graphsid dfx:ria:13b46fac-6311-d815-79b8-f5bc088e670d

Data as of Jun 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 12, 2026 to Jun 12, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $46.7M••• Locked
Discretionary RAUM: $0
Private client RAUM: $43.8Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2
Offices

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••••• T••• R•••••	n/a	ANKENY, IA	9	14	3	no
C••• K•••••••	n/a	ANKENY, IA	0	10

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• F•••••••• G•••• I••	2	Jul 20, 2017	Jun 22, 2017	ANKENY, IA	Team lift out	Other	0.7%

Relationships

Registered with (4)

← C••• K•••••••Advisorregistration: current employment
Mar 25, 2026 to presentfactForm ADV
← P•••••• T••• R•••••Advisorregistration: current employment
Jun 22, 2017 to presentfactForm ADV
← A•••• S••••• C•••••Advisorregistration: previous registration
Jan 3, 2022 to Feb 20, 2025factForm ADV
← B•••• M•••••• D•••••••

Dated events

Occurred
Feb 20, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13b46fac-6311-d815-79b8-f5bc088e670d
First observed: Jun 12, 2026
Last observed: Jun 12, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds 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.