DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

A•••••• C• C••••••

Advisor at U••••• C•••••• F•••••••• A•••••••

BETTENDORF, IA

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Search this name across graphsid dfx:ria:23f1a4fd-a10a-459f-f726-075e126c1c22

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 20, 2001 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: U••••• C•••••• F•••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 20, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• C•••••• F•••••••• A•••••••	Independent wealth	Mar 29, 2019	n/a	yes	BETTENDORF, IA	Current employment
G•••••• S•••• • C•• L••	Wirehouse	Mar 9, 2023	Apr 5, 2023	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••••• S•••• • C•• L••	n/a	Apr 5, 2023	n/a	n/a	Departure no registered destination	Departure
I••••••• I••••••••• L•••••	U••••• C•••••• F•••••••• A•••••••	Mar 29, 2019	Mar 29, 2019	0

Team moves

••• Locked

Team	Left	Joined	From	Kind
119818:134600:IL:2019-03-29	Mar 29, 2019	Mar 29, 2019	MOLINE, IL	Firm change

Relationships

Registered with (4)

→ U••••• C•••••• F•••••••• A•••••••Registered adviserregistration: current employment
Mar 29, 2019 to presentfactForm ADV
→ G•••••• S•••• • C•• L••Registered adviserregistration: previous registration
Mar 9, 2023 to Apr 5, 2023factForm ADV
→ I••••••• I••••••••• L•••••Registered adviserregistration: previous registration
Apr 17, 2012 to Mar 29, 2019factForm ADV
→ C•••••• L••

Dated events

Occurred
Apr 5, 2023
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23f1a4fd-a10a-459f-f726-075e126c1c22
First observed: Jul 20, 2001
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.