DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

C••••••••• J•• I••••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3a7a8ff8-501c-dcd9-1f2e-f963b893c986

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 8, 2005 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 5, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	SIBLEY, IA\|REMSEN, IA\|ORANGE CITY, IA	Current employment
C•••••• L••••••••• C••••••• L••	State registered	Jan 22, 2021	n/a	yes	ORANGE CITY, IA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• L••••••••• C••••••• L••	C•••••• L••••••••• C••••••• L••	Feb 1, 2021	Jan 22, 2021	-10	Firm change	Other
M•••• C••••••• A••••••• S••••••	C•••••• L••••••••• C••••••• L••	Jun 16, 2009	Dec 15, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
306612:312634:IA:2021-02-01	Feb 1, 2021	Jan 22, 2021	ORANGE CITY, IA	Firm change

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ C•••••• L••••••••• C••••••• L••Registered adviserregistration: current employment
Jan 22, 2021 to presentfactForm ADV
→ C•••••• L••••••••• C••••••• L••Registered adviserregistration: previous registration
Dec 15, 2020 to Feb 1, 2021factForm ADV
→ M•••• C••••••• A••••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a7a8ff8-501c-dcd9-1f2e-f963b893c986
First observed: Aug 8, 2005
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.