DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

D••••• A•••• L••••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:d5f4fe06-d84c-7365-b83c-8455d72469d7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 18, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Feb 20, 2025	n/a	yes	COLORADO SPRINGS, CO\|NORTH NEWTON, KS\|Goshen, IN\|WOODLAND PARK, CO	Current employment
E••••••• T•••• C••••••	Former SEC adviser	Oct 14, 2009	Sep 30, 2019	no	HESSTON, KS\|GOSHEN, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• F•••••••• G•••• A•••••••	E••••••• T•••• C••••••	Feb 20, 2025	Oct 14, 2009	-5,608	Firm change after gap	Other
E••••••• T•••• C••••••	C••••• I••••••••• A••••••• L••	Sep 30, 2019	Feb 20, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
15708:113179:AL:2025-02-20	Feb 20, 2025	Oct 14, 2009	BIRMINGHAM, AL	Firm change after gap
113179:105644:IN:2019-09-30	Sep 30, 2019	Feb 20, 2025	GOSHEN, IN	Firm change after gap

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Feb 20, 2025 to presentfactForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Oct 18, 2001 to Feb 20, 2025factForm ADV
→ E••••••• T•••• C••••••Registered adviserregistration: previous registration
Oct 14, 2009 to Sep 30, 2019factForm ADV

Dated events

Occurred
Feb 20, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5f4fe06-d84c-7365-b83c-8455d72469d7
First observed: Oct 18, 2001
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.