DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

N•••••• Y••••• Y••••••

Advisor at I•••••••• A•••••••• L••

URBANDALE, IA | Johnstown, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 8, 2007 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: I•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 29, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I•••••••• A•••••••• L••	Bd affiliated wealth	Jul 7, 2026	n/a	yes	URBANDALE, IA\|Johnstown, PA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Aug 3, 2022	Jul 15, 2026	no	SAN DIEGO, CA\|NORTH HUNTINGDON, PA\|North Huntingdon, PA\|GREENSBURG, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	I•••••••• A•••••••• L••	Jul 15, 2026	Jul 7, 2026	-8	Firm change	Ibd to ibd
C••••• I••••••••• A••••••• L••	L•• F•••••••• L••	Aug 30, 2022	Aug 3, 2022

Relationships

Registered with (4)

→ I•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 7, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 3, 2022 to Jul 15, 2026factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Feb 12, 2014 to Aug 30, 2022factForm ADV
→ C••••••• S••••••••• I•••

Dated events

Order

Occurred
15 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Aug 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 8, 2007
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.