DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

S••• A••• S•••••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Overland Park, KS

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Search this name across graphsid dfx:ria:5f157ed1-a8b2-e2a5-96a2-47d3d2a868cb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 4, 2006 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 16, 2022	n/a	yes	Overland Park, KS\|Overland Park, KS	Current employment
N•••••• W••••• G••••• L••	Former SEC adviser	Nov 12, 2014	Dec 31, 2017	no	OVERLAND PARK, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••• W••••• G••••• L••	A••••••••• F•••••••• S•••••••• L••	Dec 31, 2017	May 16, 2022	1,597	Firm change after gap	Other
I••••••••• F•••••••• P•••••••	N•••••• W••••• G••••• L••	Oct 17, 2014	Nov 12, 2014

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 4, 2006 to Dec 21, 2012factForm ADV
→ N•••••• W••••• G••••• L••Registered adviserregistration: previous registration
Nov 12, 2014 to Dec 31, 2017factForm ADV
→ I••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
Feb 6, 2013 to Oct 17, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f157ed1-a8b2-e2a5-96a2-47d3d2a868cb
First observed: Sep 4, 2006
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.