DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M•••••• H••••••• F•••••••• A•••••••

M•••••• H••••••• B•••• F••, CRD 306308

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:58d27c63-d880-d51d-cd8c-f5a0175aa0be

Data as of Jan 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Jun 11, 2020 to Jan 2, 2026
27 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $399M••• Locked
Discretionary RAUM: $399M
Private client RAUM: $399Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $99.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• G••••• W••••••	Certified Financial Planner\|Chartered Financial Consultant	WEST DES MOINES, IA	6	30	3	yes
C•••• M•••••	Certified Financial Planner	WEST DES MOINES, IA	3	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• F••• S•••••• I•••	Owner	E	yes	11/2019	Jun 11, 2020	Dec 12, 2024
M•••••• H••••••• B•••• F••	Owner	E	yes	11/2019	Jun 11, 2020	Dec 12, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Grimes	Ia	United States	2	yes
Chariton	Ia	United States	1	yes

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
0	0	0	0.0%	0	0	0	2	0

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	$399M	$314M	26.9%	$177M	31.1%	6	4	2	2

Relationships

Registered with (7)

← M••• D••••• V••••Advisorregistration: current employment
Mar 15, 2024 to presentfactForm ADV
← L••• C••••••Advisorregistration: current employment
Jan 5, 2024 to presentfactForm ADV
← C•••• M•••••Advisorregistration: current employment
Nov 16, 2022 to presentfactForm ADV
← M•••••• G••••• W••••••

Dated events

Occurred
Aug 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 29, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
May 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 11, 2020
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58d27c63-d880-d51d-cd8c-f5a0175aa0be
First observed: Jun 11, 2020
Last observed: Jan 2, 2026 8 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.