DFX Intelligence

N••• H••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

N••• H••••• G••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SIOUX FALLS, SD

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Search this name across graphsid dfx:ria:c8f82589-62dc-6304-fba5-7b33ab53cb80

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 12, 2001 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 21, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Apr 5, 2019	n/a	yes	SIOUX FALLS, SD	Current employment
E••• B••••• A•••••••• L••	Former SEC adviser	May 26, 2004	Jan 23, 2019	no	SIOUX FALLS, SD\|SIOUX FALLS, SD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••• B••••• A•••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Jan 23, 2019	Apr 5, 2019	72	Firm change	RIA to RIA
W••••••• F•••••••• S•••••••• I•••	E••• B••••• A•••••••• L••	Jun 1, 2004	May 26, 2004

Relationships

Registered with (3)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Apr 5, 2019 to presentfactForm ADV
→ E••• B••••• A•••••••• L••Registered adviserregistration: previous registration
May 26, 2004 to Jan 23, 2019factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 12, 2001 to Jun 1, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8f82589-62dc-6304-fba5-7b33ab53cb80
First observed: Jan 12, 2001
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.