DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

G•••••• S•••• D•••••

Advisor at C••••• I••••••••• A••••••• L••

LIBERTY, MO | NORTH KANSAS CITY, MO

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Search this name across graphsid dfx:ria:951c395f-8abe-07b6-43e1-6011efcedc36

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2006 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 24, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	LIBERTY, MO\|NORTH KANSAS CITY, MO	Current employment
S••••• F•••••••• G•••• I••	Former SEC adviser	Sep 1, 2016	May 20, 2021	no	NORTH KANSAS CITY, MO\|NORTH KANSAS CITY, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• F•••••••• G•••• I••	C••••• I••••••••• A••••••• L••	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
V•• A••••••• S•••••••	S••••• F•••••••• G•••• I••	Sep 1, 2016	Sep 1, 2016

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Sep 1, 2016 to May 20, 2021factForm ADV
→ V•• A••••••• S•••••••Registered adviserregistration: previous registration
Oct 31, 2007 to Sep 1, 2016factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:951c395f-8abe-07b6-43e1-6011efcedc36
First observed: Mar 30, 2006
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.