DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

D••••• S••••• D••••••

Advisor at C••••••••• C•••••• S••••••••• I•••

FORT ATKINSON, WI | MEMPHIS, TN

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Search this name across graphsid dfx:ria:df1b0f37-a0e9-2972-0c41-4261609154c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 30, 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: C••••••••• C•••••• S••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 25, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• C•••••• S••••••••• I•••	Independent wealth	Jan 6, 2026	n/a	yes	MEMPHIS, TN\|FORT ATKINSON, WI	Current employment
B• R•••• W••••• M•••••••••	Former SEC adviser	Mar 30, 2004	Dec 28, 2015	no	MEMPHIS, TN\|MEMPHIS, TN\|Memphis, TN\|MEMPHIS, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• M•••••••••	C••••••••• C•••••• S••••••••• I•••	Dec 28, 2015	Jan 6, 2026	3,662	Firm change after gap	Other

Relationships

Registered with (2)

→ C••••••••• C•••••• S••••••••• I•••Registered adviserregistration: current employment
Jan 6, 2026 to presentfactForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Mar 30, 2004 to Dec 28, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df1b0f37-a0e9-2972-0c41-4261609154c8
First observed: Mar 30, 2004
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.