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R••••• M• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

R••••• M• W••••••

Advisor at C••• L••

OMAHA, NE

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Search this name across graphsid dfx:ria:03013063-695d-470a-2c57-bde7979d24a0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2007 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••• 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 29, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom 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
C••• L••	Bd affiliated wealth	Jan 10, 2020	n/a	yes	OMAHA, NE	Current employment
E••••• J••••	National bd RIA	Apr 22, 2019	Jun 26, 2019	no	OMAHA, NE\|ST LOUIS, MO

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
E••••• J••••	C••• L••	Jun 26, 2019	Jan 10, 2020	198	Firm change	Ibd to ibd
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Dec 23, 2008

Relationships

Registered with (4)

→ C••• L••Registered adviserregistration: current employment
Jan 10, 2020 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Apr 22, 2019 to Jun 26, 2019factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 27, 2007 to Dec 23, 2008factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03013063-695d-470a-2c57-bde7979d24a0
First observed: Sep 27, 2007
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.