DFX Intelligence

V•••••• E•••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

V•••••• E•••• A••••

Advisor at P•••••••• S••••••••• I•••

BATON ROUGE, LA | DES MOINES, 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, 5:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 27, 2018 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: P•••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 12, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• S••••••••• I•••	Bd affiliated wealth	Dec 26, 2024	n/a	yes	DES MOINES, IA\|BATON ROUGE, LA	Current employment
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	Apr 17, 2019	Nov 18, 2024	no	Baton Rouge, LA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• M••••• I••••••••• S•••••••••	P•••••••• S••••••••• I•••	Nov 18, 2024	Dec 26, 2024	38	Firm change	Other
D••••• • C•••••• I•••	N••••••••• M••••• I••••••••• S•••••••••	Apr 1, 2019	Apr 17, 2019

Relationships

Registered with (3)

→ P•••••••• S••••••••• I•••Registered adviserregistration: current employment
Dec 26, 2024 to presentfactForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Apr 17, 2019 to Nov 18, 2024factForm ADV
→ D••••• • C•••••• I•••Registered adviserregistration: previous registration
Sep 27, 2018 to Apr 1, 2019factForm ADV

Dated events

Occurred
Nov 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 27, 2018
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.