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

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RIA / WealthAdvisorChartered Financial Consultant40 years in industry

T••••• R•••• C••••

Advisor at S••••• M•••••••••

••• Locked

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Search this name across graphsid dfx:ria:3a05ed9f-396f-00b7-2ab4-741dc9337aac

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 5, 1999 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: S••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• M•••••••••	Independent wealth	Sep 29, 2016	n/a	yes	West Des Moines, IA\|NORTH LITTLE ROCK, AR	Current employment
C•••••• W••••• M•••••••••	Former SEC adviser	Jun 7, 2016	Apr 3, 2017	no	West Des Moines, IA\|SAN JOSE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• W••••• M•••••••••	S••••• M•••••••••	Apr 3, 2017	Sep 29, 2016	-186	Firm change after gap	Other
V•• A••••••• S•••••••	C•••••• W••••• M•••••••••	Jun 7, 2016	Jun 7, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
141253:127145:CA:2017-03-24	Apr 3, 2017	Sep 29, 2016	SAN JOSE, CA	Firm change after gap
14503:141253:KS:2016-06-07	Jun 7, 2016	Jun 7, 2016	OVERLAND PARK, KS	Firm change

Relationships

Registered with (5)

→ S••••• M•••••••••Registered adviserregistration: current employment
Sep 29, 2016 to presentfactForm ADV
→ C•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Jun 7, 2016 to Apr 3, 2017factForm ADV
→ V•• A••••••• S•••••••Registered adviserregistration: previous registration
Feb 7, 2003 to Jun 7, 2016factForm ADV
→ T•• M••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a05ed9f-396f-00b7-2ab4-741dc9337aac
First observed: Jan 5, 1999
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.