DFX Intelligence

D•••• M•••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)35 years in industry

D•••• M•••••• N•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:61acc4ce-9a65-f205-c043-fb152f215802

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1999 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 23, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Mar 1, 2011	n/a	yes	CLINTON, IA\|Burlington, IA\|Davenport, IA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jan 1, 1999	Mar 14, 2011	no	CLINTON, IA\|DAVENPORT, IA\|STERLING, IL

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Mar 14, 2011	Mar 1, 2011	-13	Firm change	Other

Relationships

Registered with (2)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Mar 1, 2011 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 1, 1999 to Mar 14, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:61acc4ce-9a65-f205-c043-fb152f215802
First observed: Jan 1, 1999
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.