DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialistdual registered (broker-dealer)26 years in industry

M•••••• W• M•••••

Advisor at O•••• W•••••• I•••

DUBUQUE, IA

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Search this name across graphsid dfx:ria:ae8706be-19a6-5272-3638-06ae22c67632

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 1, 2002 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 18, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Feb 25, 2022	n/a	yes	DUBUQUE, IA	Current employment
C•••••• L••	Independent wealth	Aug 9, 2007	Feb 17, 2022	no	DAVENPORT, IA\|DUBUQUE, IA\|DUBUQUE, IA\|ROCKFORD, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• L••	O•••• W•••••• I•••	Feb 17, 2022	Feb 25, 2022	8	Firm change	RIA to ibd
G••••• P•••••••• S••••••••• I•••	C•••••• L••	Aug 2, 2007	Aug 9, 2007

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Feb 25, 2022 to presentfactForm ADV
→ C•••••• L••Registered adviserregistration: previous registration
Aug 9, 2007 to Feb 17, 2022factForm ADV
→ G••••• P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 23, 2006 to Aug 2, 2007factForm ADV
→ P••••••••• R••••••••• B•••••••• S•••••••• I•••Registered adviser

Dated events

Occurred
Feb 17, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae8706be-19a6-5272-3638-06ae22c67632
First observed: Oct 1, 2002
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.