DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)32 years in industry

S•••• C••••••••• A••••

Advisor at C••••• F••••••••

••• Locked

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Search this name across graphsid dfx:ria:b52e7d4f-3db3-9181-ab9f-7f0c42fadda4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 12, 2001 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: C••••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 7, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• F••••••••	Independent wealth	May 21, 2014	n/a	yes	Leawood, KS\|Excelsior Springs, MO\|Lenexa, KS	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Feb 1, 2013	May 20, 2014	no	SAN DIEGO, CA\|KANSAS CITY, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	C••••• F••••••••	May 20, 2014	May 21, 2014	1	Firm change	Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	C••• F•••••••• S•••••••• L•••	Feb 1, 2013	Feb 1, 2013

Relationships

Registered with (5)

→ C••••• F••••••••Registered adviserregistration: current employment
May 21, 2014 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Feb 1, 2013 to May 20, 2014factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Mar 10, 2006 to Feb 1, 2013factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b52e7d4f-3db3-9181-ab9f-7f0c42fadda4
First observed: Oct 12, 2001
Last observed: Sep 14, 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.