DFX Intelligence

H••••• R••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

H••••• R••• F•••••

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

IOWA CITY, IA

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Search this name across graphsid dfx:ria:40fab02f-21b3-b284-d568-3b90ccfe8698

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 16, 2020 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: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2023	n/a	yes	IOWA CITY, IA	Current employment
C•• S••••••••• L••	Former SEC adviser	Oct 16, 2020	Oct 27, 2021	no	IOWA CITY, IA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Aug 10, 2023	Aug 10, 2023	0	Bulk transfer	RIA to ibd
C•• S••••••••• L••	S••••••• F•••••••• S•••••••• I•••	Oct 27, 2021	Oct 16, 2020

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 16, 2020 to Aug 10, 2023factForm ADV
→ C•• S••••••••• L••Registered adviserregistration: previous registration
Oct 16, 2020 to Oct 27, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40fab02f-21b3-b284-d568-3b90ccfe8698
First observed: Oct 16, 2020
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.