DFX Intelligence

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

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RIA / WealthAdvisorPersonal Financial Specialist23 years in industry

M••••••• L••• T•••••••••

Advisor at F••••• F••••••••

DUBUQUE, IA | PLATTEVILLE, WI

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Search this name across graphsid dfx:ria:b83a088f-0dbe-1baf-be9a-8f3833c7dd08

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Sep 27, 2013 to Sep 19, 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••••• F••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••• F••••••••	Independent wealth	Sep 18, 2026	n/a	yes	DUBUQUE, IA\|PLATTEVILLE, WI	Current employment
A•••••• P••••••• P•••••••• I•••	Bd affiliated wealth	Sep 27, 2013	Jul 1, 2026	no	PLATTEVILLE, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• P••••••• P•••••••• I•••	F••••• F••••••••	Jul 1, 2026	Sep 18, 2026	79	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ F••••• F••••••••Registered adviserregistration: current employment
Sep 18, 2026 to presentfactForm ADV
→ A•••••• P••••••• P•••••••• I•••Registered adviserregistration: previous registration
Sep 27, 2013 to Jul 1, 2026factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 18, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b83a088f-0dbe-1baf-be9a-8f3833c7dd08
First observed: Sep 27, 2013
Last observed: Sep 19, 2026 4 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.