DFX Intelligence

J•••• W•••••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

J•••• W•••••• M•••••••

Advisor at N•••••• F•••••••• G••••• I•••

CEDAR RAPIDS, IA | Dubuque, IA

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Search this name across graphsid dfx:ria:cb4dcd87-7a41-d3d8-defe-9b0cc0a24d92

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 9, 2003 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: N•••••• F•••••••• G••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 5, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• F•••••••• G••••• I•••	Independent wealth	Jun 16, 2016	n/a	yes	CEDAR RAPIDS, IA\|Dubuque, IA	Current employment
H•••••• • J•••• F•••••••• S•••••••• I•••	Former SEC adviser	Jan 20, 2016	Jul 18, 2016	no	DUBUQUE, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• • J•••• F•••••••• S•••••••• I•••	N•••••• F•••••••• G••••• I•••	Jul 18, 2016	Jun 16, 2016	-32	Firm change after gap	Other
E•••• S••••••••• L••	H•••••• • J•••• F•••••••• S•••••••• I•••	Jan 18, 2012	Jan 20, 2016

Relationships

Registered with (6)

→ N•••••• F•••••••• G••••• I•••Registered adviserregistration: current employment
Jun 16, 2016 to presentfactForm ADV
→ H•••••• • J•••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 20, 2016 to Jul 18, 2016factForm ADV
→ E•••• S••••••••• L••Registered adviserregistration: previous registration
Aug 31, 2011 to Jan 18, 2012factForm ADV
→ V•• A••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb4dcd87-7a41-d3d8-defe-9b0cc0a24d92
First observed: Sep 9, 2003
Last observed: Sep 15, 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.