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C••• A••• T•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

C••• A••• T•••••••••

Advisor at L•• F•••••••• L••

BOONE, IA | CLIVE, IA | DES MOINES, IA | URBANDALE, IA

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Search this name across graphsid dfx:ria:ebf164bf-7683-c53a-1261-9b8b857ee21f

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 18, 2021 to Sep 18, 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: L•• F•••••••• 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: Mar 25, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Jun 22, 2026	n/a	yes	BOONE, IA\|CLIVE, IA\|CLIVE, IA\|DES MOINES, IA\|URBANDALE, IA	Current employment
P••••••	Asset manager	Mar 5, 2025	Aug 22, 2025	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
P••••••	L•• F•••••••• L••	Aug 22, 2025	Jun 22, 2026	304	Firm change	Other
N••••••••• M••••• I••••••••• S•••••••••	P••••••	Feb 7, 2025

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 22, 2026 to presentfactForm ADV
→ P••••••Registered adviserregistration: previous registration
Mar 5, 2025 to Aug 22, 2025factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Oct 4, 2024 to Feb 7, 2025factForm ADV
→ R•••••• I•••••••••

Dated events

Occurred
Aug 22, 2025
Advisor changed firm
C••• A••• T••••••••• left Potomac for L•• F•••••••• L•• (registered 2026-06-22)
Form ADVobserved 7 days ago
Occurred
Feb 7, 2025
Advisor changed firm
C••• A••• T••••••••• left N••••••••• M••••• I••••••••• S••••••••• for Potomac (registered 2025-03-05)
Form ADVobserved 7 days ago
Occurred
May 6, 2024
Advisor changed firm
C••• A••• T••••••••• left R•••••• I••••••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-10-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebf164bf-7683-c53a-1261-9b8b857ee21f
First observed: Oct 18, 2021
Last observed: Sep 18, 2026 4 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.