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D••• S•••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)29 years in industry

D••• S•••• L••••••

Advisor at O•••• W•••••• I•••

SPRINGFIELD, MO

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Search this name across graphsid dfx:ria:c0cded71-65cd-05e1-6149-b85d6ae7add3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2004 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 22, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	n/a	yes	SPRINGFIELD, MO	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Nov 14, 2014	Jun 14, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
S••••• F•••••••• S•••••••• I•••	S••••••••• A•••••• A•••••••• I•••	Nov 14, 2014

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2014 to Jun 14, 2024factForm ADV
→ S••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 28, 2004 to Nov 14, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0cded71-65cd-05e1-6149-b85d6ae7add3
First observed: Jan 28, 2004
Last observed: Sep 14, 2026 7 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.