A•• L••• W•••••

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

ANKENY, IA

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:400b61c4-67bc-a982-d20d-ce5e3bd94530

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 12, 2017 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	ANKENY, IA	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Aug 30, 2024	Sep 5, 2025	no	Ankeny, IA\|DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
L•• W••••• M•••••••••	A•••••• A••••••• S•••••••	Sep 4, 2024	Aug 30, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:310466:IA:2022-09-29	Sep 29, 2022	Dec 6, 2021	ELDON, IA	Firm change after gap

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Aug 30, 2024 to Sep 5, 2025factForm ADV
→ L•• W••••• M•••••••••Registered adviserregistration: previous registration
Dec 6, 2021 to Sep 4, 2024factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Sep 4, 2024
Advisor changed firm
A•• L••• W••••• left L•• W••••• M••••••••• for A•••••• A••••••• S••••••• (registered 2024-08-30)
Form ADVobserved 7 days ago
Occurred
Sep 29, 2022
Advisor changed firm
A•• L••• W••••• left L•• F•••••••• L•• for L•• W••••• M••••••••• (registered 2021-12-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:400b61c4-67bc-a982-d20d-ce5e3bd94530
First observed: Jan 12, 2017
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.