DFX Intelligence

S••••• P••• V•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

S••••• P••• V•••••••••

Advisor at R•••••• J•••• • A••••••••• I•••

Le Claire, IA | Davenport, IA

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Search this name across graphsid dfx:ria:c8c0dd36-3cca-cee7-f8fc-2552e9a3b179

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 26, 2001 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 27, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Apr 30, 2021	n/a	yes	Davenport, IA\|Le Claire, IA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	May 18, 2021	no	Davenport, IA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R•••••• J•••• • A••••••••• I•••	May 18, 2021	Apr 30, 2021	-18	Firm change	Wirehouse to ibd
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:705:IA:2021-05-18	May 18, 2021	Apr 30, 2021	DAVENPORT, IA	Firm change

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Apr 30, 2021 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to May 18, 2021factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Oct 26, 2001 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8c0dd36-3cca-cee7-f8fc-2552e9a3b179
First observed: Oct 26, 2001
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.