DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

C•••• A••• B•••••

Advisor at G••••• R••••••••• P••••••• L••

SAN RAFAEL, CA | Cedar Rapids, IA

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Search this name across graphsid dfx:ria:bbb3401e-e372-681d-fcb8-9a2a5830efdb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 4, 2005 to Sep 15, 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: G••••• R••••••••• P••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Sep 27, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom 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
G••••• R••••••••• P••••••• L••	Institutional manager	Oct 18, 2021	n/a	yes	SAN RAFAEL, CA\|Cedar Rapids, IA	Current employment
P•••• C•••••• F••••••••	Mixed wealth	Jul 27, 2017	Nov 11, 2021	no	Hiawatha, IA\|OVERLAND PARK, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• C•••••• F••••••••	G••••• R••••••••• P••••••• L••	Nov 11, 2021	Oct 18, 2021	-24	Firm change	Other
L••••• F•••••••• I••	P•••• C•••••• F••••••••	Oct 13, 2017	Jul 27, 2017

Relationships

Registered with (4)

→ G••••• R••••••••• P••••••• L••Registered adviserregistration: current employment
Oct 18, 2021 to presentfactForm ADV
→ P•••• C•••••• F••••••••Registered adviserregistration: previous registration
Jul 27, 2017 to Nov 11, 2021factForm ADV
→ L••••• F•••••••• I••Registered adviserregistration: previous registration
Nov 15, 2011 to Oct 13, 2017factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbb3401e-e372-681d-fcb8-9a2a5830efdb
First observed: Mar 4, 2005
Last observed: Sep 15, 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.