DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

R•••• P••• R••••

Advisor at L•• W••••• M•••••••••

ANKENY, IA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 6, 2007 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: L•• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• W••••• M•••••••••	Independent wealth	Dec 19, 2024	n/a	yes	ANKENY, IA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	May 24, 2022	Jan 7, 2025	no	Sioux Falls, SD\|Marshalltown, IA\|West Des Moines, IA\|Marshalltown, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	L•• W••••• M•••••••••	Jan 7, 2025	Dec 19, 2024	-19	Firm change	Ibd to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	U••• B•••••• I••••••••• I•••	Jun 3, 2022	May 24, 2022

Relationships

Registered with (6)

→ L•• W••••• M•••••••••Registered adviserregistration: current employment
Dec 19, 2024 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
May 24, 2022 to Jan 7, 2025factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jun 23, 2017 to Jun 3, 2022factForm ADV
→ C••••• I••••••••• A••••••• L••

Dated events

Order

Occurred
7 Jan 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Jun 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 6, 2007
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.