DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

A••••• A••• V•••••••••

Advisor at P•••••••• S••••••••• I•••

DES MOINES, IA | SAN DIEGO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Nov 18, 2004 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: P•••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 19, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• S••••••••• I•••	Bd affiliated wealth	May 12, 2025	n/a	yes	SAN DIEGO, CA\|DES MOINES, IA	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Mar 27, 2025	Apr 29, 2025	no	SAN DIEGO, CA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	P•••••••• S••••••••• I•••	Apr 29, 2025	May 12, 2025	13	Firm change	Ibd to ibd
A•••••• A••••••• S•••••••	R•• C•••••• M••••••• L••	Aug 6, 2024	Mar 27, 2025

Relationships

Registered with (7)

→ P•••••••• S••••••••• I•••Registered adviserregistration: current employment
May 12, 2025 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Mar 27, 2025 to Apr 29, 2025factForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jul 11, 2023 to Aug 6, 2024factForm ADV
→ F•••••••• S•••• A•••••••• I•••

Dated events

Order

Occurred
29 Apr 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
6 Aug 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
23 Jun 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 18, 2004
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.