DFX Intelligence

N••••••• W•••••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

N••••••• W•••••• B•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Reinbeck, IA | Cedar Falls, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:efc6ba0a-8c48-659b-f065-ea8ef5291463

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Apr 26, 2013 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 9, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Mar 1, 2024	n/a	yes	Cedar Falls, IA\|Reinbeck, IA\|Cedar Falls, IA	Current employment
L•• W••••• M•••••••••	Independent wealth	Dec 6, 2021	Mar 5, 2024	no	Waterloo, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• W••••• M•••••••••	A••••••••• F•••••••• S•••••••• L••	Mar 5, 2024	Mar 1, 2024	-4	Firm change	RIA to ibd
L•• F•••••••• L••	L•• W••••• M•••••••••	Sep 29, 2022	Dec 6, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
310466:6363:IA:2024-03-05	Mar 5, 2024	Mar 1, 2024	WATERLOO, IA	Firm change
6413:310466:IA:2022-09-29	Sep 29, 2022	Dec 6, 2021	ALLISON, IA	Firm change after gap

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 1, 2024 to presentfactForm ADV
→ L•• W••••• M•••••••••Registered adviserregistration: previous registration
Dec 6, 2021 to Mar 5, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 26, 2013 to Sep 29, 2022factForm ADV

Dated events

Occurred
Mar 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 29, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efc6ba0a-8c48-659b-f065-ea8ef5291463
First observed: Apr 26, 2013
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.