DFX Intelligence

R•••• G•••••• L••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

R•••• G•••••• L••

Advisor at C••••••• F•••••••• D••••••• I•••

KOKOMO, IN | Overland Park, KS

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Search this name across graphsid dfx:ria:6ae56dc8-82aa-73f1-80b2-fd7fa3b2346c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 4, 1999 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: C••••••• F•••••••• D••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 15, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• F•••••••• D••••••• I•••	Bd affiliated wealth	Apr 2, 2008	n/a	yes	KOKOMO, IN\|Overland Park, KS	Current employment
N••• F•••••••• G••••• I•••	Former SEC adviser	May 2, 2006	Apr 15, 2008	no	OVERLAND PARK, KS\|OVERLAND PARK, KS\|OVERLAND PARK, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• F•••••••• G••••• I•••	C••••••• F•••••••• D••••••• I•••	Apr 15, 2008	Apr 2, 2008	-13	Firm change	Other
W•••••• • R•••	N••• F•••••••• G••••• I•••	May 8, 2006	May 2, 2006

Relationships

Registered with (3)

→ C••••••• F•••••••• D••••••• I•••Registered adviserregistration: current employment
Apr 2, 2008 to presentfactForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
May 2, 2006 to Apr 15, 2008factForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Mar 4, 1999 to May 8, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ae56dc8-82aa-73f1-80b2-fd7fa3b2346c
First observed: Mar 4, 1999
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.