DFX Intelligence

P•••• L•••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst12 years in industry

P•••• L•••• C••••••

Advisor at R••••• F••••••••• L••

Ginnell, IA | MELBOURNE, FL

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Search this name across graphsid dfx:ria:5613428e-b99b-d387-cf0d-5a5a2020aa43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 1, 2023 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: R••••• F••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• F••••••••• L••	Independent wealth	Jan 2, 2026	n/a	yes	MELBOURNE, FL\|Ginnell, IA	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Aug 1, 2023	Jan 7, 2026	no	Grinnell, IA\|Johnston, IA\|Marengo, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	R••••• F••••••••• L••	Jan 7, 2026	Jan 2, 2026	-5	Firm change	Ibd to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
134139:324631:IA:2026-01-07	Jan 7, 2026	Jan 2, 2026	MARENGO, IA	Firm change

Relationships

Registered with (2)

→ R••••• F••••••••• L••Registered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 1, 2023 to Jan 7, 2026factForm ADV

Dated events

Occurred
Jan 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5613428e-b99b-d387-cf0d-5a5a2020aa43
First observed: Aug 1, 2023
Last observed: Sep 14, 2026 9 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.