DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

C•••••• S•••••• Y••••••••

Advisor at F•• W••••• M••••••••• L••

West Des Moines, IA

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Search this name across graphsid dfx:ria:315b33b0-d5a7-b974-66a2-d6b2bcee07da

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 9, 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: F•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 9, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•• W••••• M••••••••• L••	Bd affiliated wealth	Apr 28, 2026	n/a	yes	West Des Moines, IA	Current employment
A••••• F•••••••• S••••••••• L••	n/a	Aug 16, 2006	May 24, 2011	no	LINCOLNSHIRE, IL\|CHARLOTTE, NC\|CHICAGO, IL\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• F•••••••• S••••••••• L••	F•• W••••• M••••••••• L••	May 24, 2011	Apr 28, 2026	5,453	Firm change after gap	Other
E•••••• C•••••• M••••••••• L••	A••••• F•••••••• S••••••••• L••	Dec 31, 2005	Aug 16, 2006

Relationships

Registered with (3)

→ F•• W••••• M••••••••• L••Registered adviserregistration: current employment
Apr 28, 2026 to presentfactForm ADV
→ A••••• F•••••••• S••••••••• L••Registered adviserregistration: previous registration
Aug 16, 2006 to May 24, 2011factForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 9, 2004 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:315b33b0-d5a7-b974-66a2-d6b2bcee07da
First observed: Aug 9, 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.