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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

S•••• S•••••••••

Advisor at F•• W••••• M••••••••• L••

West Des Moines, IA

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Search this name across graphsid dfx:ria:e2cb3c77-afe9-add1-f3f1-c15dcf2c63e3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2008 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: F•• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 4, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
F•• W••••• M••••••••• L••	Bd affiliated wealth	Nov 14, 2024	n/a	yes	West Des Moines, IA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Mar 28, 2008	Oct 31, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	F•• W••••• M••••••••• L••	Oct 31, 2024	Nov 14, 2024	14	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ F•• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 28, 2008 to Oct 31, 2024factForm ADV

Dated events

Occurred
Oct 31, 2024
Advisor changed firm
S•••• S••••••••• left U••• B•••••• I••••••••• I••• for F•• W••••• M••••••••• L•• (registered 2024-11-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2cb3c77-afe9-add1-f3f1-c15dcf2c63e3
First observed: Mar 28, 2008
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.