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S•••••• M••••••• B•••• E•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner10 years in industry

S•••••• M••••••• B•••• E•••••

Advisor at C••• L••

Walla Walla, WA | OMAHA, NE

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Search this name across graphsid dfx:ria:088e1123-6a61-6d6a-9975-23e283a8e4dc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 31, 2019 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: Oct 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Sep 12, 2023	n/a	yes	Walla Walla, WA\|OMAHA, NE	Current employment
B•••••• I••••••••• G••••• L••	Former SEC adviser	Jul 31, 2019	Dec 11, 2023	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
B•••••• I••••••••• G••••• L••	C••• L••	Dec 11, 2023	Sep 12, 2023	-90	Firm change after gap	RIA to ibd

Team moves

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

Team	Left	Joined	From	Kind
128559:155344:WA:2023-12-11	Dec 11, 2023	Sep 12, 2023	WALLA WALLA, WA	Firm change after gap

Relationships

Registered with (2)

→ C••• L••Registered adviserregistration: current employment
Sep 12, 2023 to presentfactForm ADV
→ B•••••• I••••••••• G••••• L••Registered adviserregistration: previous registration
Jul 31, 2019 to Dec 11, 2023factForm ADV

Dated events

Occurred
Dec 11, 2023
Advisor changed firm
S•••••• M••••••• B•••• E••••• left B•••••• I••••••••• G••••• L•• for C••• L•• (registered 2023-09-12)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:088e1123-6a61-6d6a-9975-23e283a8e4dc
First observed: Jul 31, 2019
Last observed: Sep 14, 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.