DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

M••••••• W••••••••• M••••

Advisor at W••• A•••••••

CLIVE, IA

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Search this name across graphsid dfx:ria:96126884-f1db-daad-8692-895972adb41f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 21, 2013 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: W••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 21, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••• A•••••••	Independent wealth	Oct 26, 2017	n/a	yes	CLIVE, IA	Current employment
M••••• S•••••• I••••••••• M••••••••• I•••	Asset manager	Sep 30, 2015	Jul 27, 2016	no	CHICAGO, IL\|NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• I••••••••• M••••••••• I•••	W••• A•••••••	Jul 27, 2016	Oct 26, 2017	456	Firm change after gap	Other
M••••• S••••••	M••••• S•••••• I••••••••• M••••••••• I•••	Jan 28, 2016	Sep 30, 2015

Relationships

Registered with (3)

→ W••• A•••••••Registered adviserregistration: current employment
Oct 26, 2017 to presentfactForm ADV
→ M••••• S•••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Sep 30, 2015 to Jul 27, 2016factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 21, 2013 to Jan 28, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96126884-f1db-daad-8692-895972adb41f
First observed: Jun 21, 2013
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.