DFX Intelligence

N••••• C•••••• S•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

N••••• C•••••• S•••

Advisor at T•• A•••••••• I•••

Des Moines, IA | SUMMIT, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2019 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: T•• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A•••••••• I•••	Bd affiliated wealth	Jan 3, 2024	n/a	yes	SUMMIT, NJ\|Des Moines, IA	Current employment
V••• F•••••••• P•••••••• L••	Former SEC adviser	Aug 13, 2019	Apr 26, 2022	no	DES MOINES, IA\|Urbandale, IA\|ANKENY, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••• F•••••••• P•••••••• L••	T•• A•••••••• I•••	Apr 26, 2022	Jan 3, 2024	617	Firm change after gap	Other
V••• F•••••••• A•••••••• I•••	V••• F•••••••• P•••••••• L••	Jul 19, 2019	Aug 13, 2019

Relationships

Registered with (3)

→ T•• A•••••••• I•••Registered adviserregistration: current employment
Jan 3, 2024 to presentfactForm ADV
→ V••• F•••••••• P•••••••• L••Registered adviserregistration: previous registration
Aug 13, 2019 to Apr 26, 2022factForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 7, 2019 to Jul 19, 2019factForm ADV

Dated events

Order

Occurred
26 Apr 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 7, 2019
Last observed: Sep 14, 2026 10 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.