DFX Intelligence

M•••••• R••••• W••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor21 years in industry

M•••••• R••••• W••••••••

Advisor at S••••• A•••• M••••••••• L•••••

TROY, MI | Marion, IA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2011 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••••• A•••• M••••••••• L•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A•••• M••••••••• L•••••	Independent wealth	Jul 15, 2025	n/a	yes	TROY, MI\|Marion, IA	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Mar 1, 2022	Oct 23, 2024	no	MARION, IA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• A•••••••• I•••	S••••• A•••• M••••••••• L•••••	Oct 23, 2024	Jul 15, 2025	265	Firm change	Ibd to RIA
L•• F•••••••• L••	S•• I••••••••• A•••••••• I•••	Mar 28, 2022	Mar 1, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
134139:6413:IA:2018-09-07	Sep 7, 2018	Aug 10, 2018	WEST DES MOINES, IA	Firm change

Relationships

Registered with (4)

→ S••••• A•••• M••••••••• L•••••Registered adviserregistration: current employment
Jul 15, 2025 to presentfactForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 1, 2022 to Oct 23, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 10, 2018 to Mar 28, 2022factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••

Dated events

Order

Occurred
23 Oct 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
28 Mar 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2011
Last observed: Sep 15, 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.