DFX Intelligence

C•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C•••••••••

C•••••••••, LLC, CRD 304069

MILWAUKEE, WI

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:002487fb-6630-1f0a-135f-9146a9f8130f

Data as of Mar 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2019 to Mar 16, 2021
2 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 1
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-117237
CRD: 304069

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• P••• F•••••	n/a	MILWAUKEE, WI	1	18	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• M•••••••• P••••••	CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER	B	yes	08/2017	Jul 25, 2019	Mar 16, 2021
F•••••• M••••••	CHIEF EXECUTIVE OFFICER	E	yes	05/2015	Jul 25, 2019	Mar 16, 2021

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Relationships

Registered with (1)

← M•••••• P••• F•••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV

Controls (2)

← F•••••• M••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Jul 25, 2019 to presentfactForm ADV
← B•••• M•••••••• P••••••OwnerCHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER, ownership code B, individual
Jul 25, 2019 to presentfactForm ADV

Dated events

Occurred
Jul 25, 2019
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:002487fb-6630-1f0a-135f-9146a9f8130f
First observed: Jul 25, 2019
Last observed: Mar 16, 2021 67 months ago
Source families: Federal regulator filings
3 registered feeds 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.