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B•••• R•• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

B•••• R•• O•••••

Advisor at R••••••••• C••••••••• G••••

DUBUQUE, IA | WEST DES MOINES, IA | Duuque, IA

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Search this name across graphsid dfx:ria:3517e857-a897-7c87-18e7-41819c84d949

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 1, 1996 to Sep 15, 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: R••••••••• C••••••••• G••••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Current registrations

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C••••••••• G••••	Mixed wealth	Jul 2, 2019	n/a	yes	Duuque, IA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jan 19, 2005	n/a	yes	DUBUQUE, IA\|DUBUQUE, IA\|WEST DES MOINES, IA

Relationships

Registered with (2)

→ R••••••••• C••••••••• G••••Registered adviserregistration: current employment
Jul 2, 2019 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
Jan 19, 2005 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3517e857-a897-7c87-18e7-41819c84d949
First observed: Aug 1, 1996
Last observed: Sep 15, 2026 7 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.