DFX Intelligence

T••• A•••• C•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

T••• A•••• C•••••••••

Advisor at F•••• H•••••••• C••••••••• I•••

CLIVE, IA

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Search this name across graphsid dfx:ria:5546f80c-602d-e82e-e211-b5d6766eabe4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 12, 2004 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: F•••• H•••••••• C••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 17, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• H•••••••• C••••••••• I•••	Bd affiliated wealth	May 8, 2007	n/a	yes	CLIVE, IA	Current employment
T••••••• I••••••••• M••••••••• I•••	Bd affiliated wealth	Feb 12, 2004	May 7, 2007	no	CLIVE, IA\|CLIVE, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••••••• I••••••••• M••••••••• I•••	F•••• H•••••••• C••••••••• I•••	May 7, 2007	May 8, 2007	1	Firm change	Other

Relationships

Registered with (2)

→ F•••• H•••••••• C••••••••• I•••Registered adviserregistration: current employment
May 8, 2007 to presentfactForm ADV
→ T••••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 12, 2004 to May 7, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5546f80c-602d-e82e-e211-b5d6766eabe4
First observed: Feb 12, 2004
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.