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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)25 years in industry

S•••• C•••••• B•••••

Advisor at F•• W••••• M••••••••• L••

West Des Moines, IA

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Search this name across graphsid dfx:ria:b57a99a1-6274-1821-2db6-ad6f53ddd63b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 7, 2005 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: F•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•• W••••• M••••••••• L••	Bd affiliated wealth	Mar 12, 2024	n/a	yes	West Des Moines, IA	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Jun 7, 2005	Aug 8, 2005	no	ENGLEWOOD, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	F•• W••••• M••••••••• L••	Aug 8, 2005	Mar 12, 2024	6,791	Firm change after gap	Ibd to ibd

Relationships

Registered with (2)

→ F•• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 12, 2024 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Jun 7, 2005 to Aug 8, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b57a99a1-6274-1821-2db6-ad6f53ddd63b
First observed: Jun 7, 2005
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.