DFX Intelligence

F•• W••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM under $100M

F•• W••••• M••••••••• L••

CRD 291396

WEST DES MOINES, 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:48c4b32d-7066-4b66-1c86-06091f696cc9

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 328
Dated events: 40
On other graphs: 0
Observed: May 17, 2018 to Jun 22, 2026
40 observations

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

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=207.0
Regulatory AUM: $9.2M••• Locked
Discretionary RAUM: $0
Private client RAUM: $9.2Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 235
RAUM per advisor: $39,323

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••• E••••••• G••••••	n/a	WEST DES MOINES, IA	8	16	1	yes
T••••• J••• B•••• M••••	Chartered Financial Consultant	West Des Moines, IA	8	45

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• A••••••• J••••	CHIEF ACCOUNTING OFFICER	Na	yes	06/2018	Mar 30, 2020	Dec 11, 2024
E•••• K••••• A••	CHIEF OPERATING OFFICER	Na	yes	12/2020	Mar 30, 2022	Dec 11, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••• B••••• L••• I•••••••• C••••••	n/a	n/a	n/a	N	yes	n/a
F•• M•••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
DES MONIES	Ia	United States	5	yes
Gilbert	Az	United States	4	yes
OVERLAND PARK	Ks	United States	4	yes
Wichita	Ks	United States	4	yes
Cheyenne	Wy	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
12	11	1	4.7%	2	4	0	30	26

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$9.2M	$8.7M	6.8%	$10.9M	-5.3%	207	177	191	171

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••	2	Jan 20, 2026	Jan 28, 2026	WEST DES MOINES, IA	Team lift out	Ibd to RIA	1.0%
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	2	Dec 19, 2024	Apr 17, 2025

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T• A••••••••• I••••••••• M••••••••• L••	2	Mar 30, 2021	Apr 7, 2021	OMAHA, NE	Team lift out	Other	0.2%
F•• I••••••••• M••••••••• S•••••••• I•••	7	Feb 8, 2019

Relationships

showing 80 of 328

Registered with (80)

← B•••• L•••• F•••••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← T••• A••••• P••••••Advisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← T••• M•••••• D••••Advisorregistration: current employment
Aug 20, 2026 to presentfactForm ADV
← B•••••• B•••

Dated events

11 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 15, 2026
Advisor changed firm
••• Locked
Form ADVobserved 6 days ago
Occurred
Sep 8, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 27, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48c4b32d-7066-4b66-1c86-06091f696cc9
First observed: May 17, 2018
Last observed: Jun 22, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds 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.