DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

M••• D••••• M••••••

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

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 23, 2003 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••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 12, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Nov 8, 2024	n/a	yes	Cedar Falls, IA\|Reinbeck, IA\|CEDAR FALLS, IA	Current employment
L•• W••••• M•••••••••	Independent wealth	Dec 6, 2021	Nov 15, 2024	no	Cedar Falls, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• W••••• M•••••••••	A••••••••• F•••••••• S•••••••• L••	Nov 15, 2024	Nov 8, 2024	-7	Firm change	RIA to ibd
L•• F•••••••• L••	L•• W••••• M•••••••••	Aug 11, 2022	Dec 6, 2021

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ L•• W••••• M•••••••••Registered adviserregistration: previous registration
Dec 6, 2021 to Nov 15, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 21, 2009 to Aug 11, 2022factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Order

Occurred
15 Nov 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
11 Aug 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 23, 2003
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.