DFX Intelligence

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

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RIA / WealthAdvisor27 years in industry

S•••• M•••••• B••••••••

Advisor at B•••••••• W••••• A•••••••• L••

ROCK ISLAND, IL

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Search this name across graphsid dfx:ria:1c9e4170-6f9d-48d9-244b-44b2388d1c1e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 25, 1999 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: B•••••••• W••••• A•••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Feb 8, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B•••••••• W••••• A•••••••• L••	State registered	Nov 29, 2017	n/a	yes	ROCK ISLAND, IL	Current employment
S••••••••• I••••••••• A•••••••• I•••	Independent wealth	Mar 15, 2006	Nov 29, 2017	no	CEDAR RAPIDS, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• I••••••••• A•••••••• I•••	B•••••••• W••••• A•••••••• L••	Nov 29, 2017	Nov 29, 2017	0	Firm change	Other
T•• P••••••• C•••••• I•••	S••••••••• I••••••••• A•••••••• I•••	Dec 7, 2005	Feb 6, 2006

Relationships

Registered with (5)

→ B•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ S••••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 15, 2006 to Nov 29, 2017factForm ADV
→ T•• P••••••• C•••••• I•••Registered adviserregistration: previous registration
Mar 31, 2005 to Dec 7, 2005factForm ADV
→ C•••••••• I••••••••• R•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c9e4170-6f9d-48d9-244b-44b2388d1c1e
First observed: Feb 25, 1999
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.