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

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RIA / WealthAdvisorCertified Financial Planner22 years in industry

R••• S•••• E•••••

Advisor at A•••• W••••• M••••••••• L••

OMAHA, NE | San Antonio, TX

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Search this name across graphsid dfx:ria:733d72c4-6b1f-eb82-24c5-d54f87c57234

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 23, 2004 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: A•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• W••••• M••••••••• L••	Independent wealth	May 17, 2019	n/a	yes	San Antonio, TX\|OMAHA, NE	Current employment
U••• I••••••••• S••••••• C••••••	No RAUM reported	Jan 8, 2018	May 15, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U••• I••••••••• S••••••• C••••••	A•••• W••••• M••••••••• L••	May 15, 2019	May 17, 2019	2	Firm change	Ibd to RIA
U••• F•••••••• P••••••• S•••••••	U••• I••••••••• S••••••• C••••••	Jan 8, 2018

Relationships

Registered with (5)

→ A•••• W••••• M••••••••• L••Registered adviserregistration: current employment
May 17, 2019 to presentfactForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Jan 8, 2018 to May 15, 2019factForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Mar 4, 2009 to Jan 8, 2018factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:733d72c4-6b1f-eb82-24c5-d54f87c57234
First observed: Aug 23, 2004
Last observed: Sep 15, 2026 7 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.