DFX Intelligence

M••••••• L••••••• N•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

M••••••• L••••••• N•••••••

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

••• Locked

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Search this name across graphsid dfx:ria:e8d43a17-83e5-f688-5583-b1651769194e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2010 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 23, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	WEST DES MOINES, IA\|West Des Moines, IA	Current employment
I••••••••• A••••••• C•••	Former SEC adviser	Jun 20, 2014	Jun 10, 2016	no	WEST DES MOINES, IA

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• A••••••• C•••	C••••• I••••••••• A••••••• L••	Jun 10, 2016	Jun 29, 2023	2,575	Firm change after gap	Other
P•••••••• S••••••••• I•••	I••••••••• A••••••• C•••	Jun 18, 2014	Jun 20, 2014

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ I••••••••• A••••••• C•••Registered adviserregistration: previous registration
Jun 20, 2014 to Jun 10, 2016factForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Apr 16, 2013 to Jun 18, 2014factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8d43a17-83e5-f688-5583-b1651769194e
First observed: Feb 24, 2010
Last observed: Sep 14, 2026 9 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.