DFX Intelligence

P••• A••••••• G•••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

P••• A••••••• G•••• I•••

CRD 315991

MOUNT VERNON, IA

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Search this name across graphsid dfx:ria:8867a1ce-28e0-b326-e3a2-fca93819662a

Data as of Sep 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 10, 2026 to Sep 10, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $53.1M••• Locked
Discretionary RAUM: $51.9M
Private client RAUM: $52.5Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• D•••• P•••	n/a	Mount Vernon, IA	4	37	2	no
D••••• A••• B•••••	Certified Financial Planner	MOUNT VERNON, IA \| Peoria, AZ	1	27

Relationships

Registered with (2)

← D••••• A••• B•••••Advisorregistration: current employment
Aug 29, 2025 to presentfactForm ADV
← R••••• D•••• P•••Advisorregistration: current employment
Oct 5, 2021 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8867a1ce-28e0-b326-e3a2-fca93819662a
First observed: Sep 10, 2026
Last observed: Sep 10, 2026 12 days ago
Source families: Federal regulator filings
3 registered feeds 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.