DFX Intelligence

E•••••• R••••• I••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

E•••••• R••••• I••••••

Advisor at I•••••••• A•••••••• L••

URBANDALE, IA | KATY, TX

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Search this name across graphsid dfx:ria:303d6393-ae90-f5cc-516a-a219cc69ff04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2003 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: I•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 26, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•••••••• A•••••••• L••	Bd affiliated wealth	Nov 5, 2013	n/a	yes	KATY, TX\|URBANDALE, IA	Current employment
J• P• T••••• • C•••••• C•••••• M••••••••• L••	Former SEC adviser	Aug 2, 2012	Oct 17, 2013	no	KATY, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J• P• T••••• • C•••••• C•••••• M••••••••• L••	I•••••••• A•••••••• L••	Oct 17, 2013	Nov 5, 2013	19	Firm change	Other
C• W••••• M••••••••• L••	J• P• T••••• • C•••••• C•••••• M••••••••• L••	Aug 1, 2012	Aug 2, 2012

Relationships

Registered with (6)

→ I•••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 5, 2013 to presentfactForm ADV
→ J• P• T••••• • C•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 2, 2012 to Oct 17, 2013factForm ADV
→ C• W••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 4, 2011 to Aug 1, 2012factForm ADV
→ W•••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:303d6393-ae90-f5cc-516a-a219cc69ff04
First observed: Aug 18, 2003
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.