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P••• H••• E••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

P••• H••• E••••

Advisor at A•••• W••••• A•••••••• L••

WEST DES MOINES, IA

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Search this name across graphsid dfx:ria:13d037eb-1506-9484-9361-66f972eb3c25

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 30, 2006 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•••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 19, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• W••••• A•••••••• L••	Bd affiliated wealth	Sep 5, 2012	n/a	yes	WEST DES MOINES, IA	Current employment
D••••• C•••••• M•••••••••	Former SEC adviser	Mar 9, 2012	Dec 31, 2012	no	WEST DES MOINES, IA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••• C•••••• M•••••••••	A•••• W••••• A•••••••• L••	Dec 31, 2012	Sep 5, 2012	-117	Firm change after gap	Other
S•••• W••••• M••••••••• I•••	D••••• C•••••• M•••••••••	Mar 9, 2012	Mar 9, 2012

Relationships

Registered with (4)

→ A•••• W••••• A•••••••• L••Registered adviserregistration: current employment
Sep 5, 2012 to presentfactForm ADV
→ D••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Mar 9, 2012 to Dec 31, 2012factForm ADV
→ S•••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 1, 2012 to Mar 9, 2012factForm ADV
→ M••••• S•••••• D• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13d037eb-1506-9484-9361-66f972eb3c25
First observed: Oct 30, 2006
Last observed: Sep 14, 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.