DFX Intelligence

Data Factory

M••• W•••••• C•••••••••: advisor 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 / WealthAdvisordual registered (broker-dealer)27 years in industry

M••• W•••••• C•••••••••

Advisor at C•••••••

Chesterton, IN

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:061e456f-8bee-e629-4a1b-86a7618a3c0a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 1, 1999 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•••••••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 11, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

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•••••••	Institutional manager	May 6, 2020	n/a	yes	Chesterton, IN	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Jan 1, 2007	Jul 24, 2014	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
L••••••• W••••• M••••••••• G••••• L••	F•••• A••••• A••••••• S•••••••• I•••	Jun 30, 2020	Jan 1, 2007	-4,929	Firm change after gap	Other
F•••• A••••• A••••••• S•••••••• I•••	C•••••••	Jul 24, 2014

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
140271:137888:IN:2020-06-30	Jun 30, 2020	Jan 1, 2007	CHESTERTON, IN	Firm change after gap

Relationships

Registered with (4)

→ C•••••••Registered adviserregistration: current employment
May 6, 2020 to presentfactForm ADV
→ L••••••• W••••• M••••••••• G••••• L••Registered adviserregistration: previous registration
May 8, 2006 to Jun 30, 2020factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2007 to Jul 24, 2014factForm ADV
→ F•• A••••••• S••••••• I••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:061e456f-8bee-e629-4a1b-86a7618a3c0a
First observed: Feb 1, 1999
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.