DFX Intelligence

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

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RIA / WealthAdvisor14 years in industry

R••••• M•••••• W•••••••

Advisor at C••• L••

Scottsdale, AZ | OMAHA, NE

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Search this name across graphsid dfx:ria:0a6c5b24-0060-54c6-ad46-8c8222048450

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 2, 2016 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: C••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	May 19, 2023	n/a	yes	Scottsdale, AZ\|OMAHA, NE	Current employment
S••••••••• A•••• M••••••••• L••	Former SEC adviser	Apr 13, 2022	Mar 19, 2024	no	Scottsdale, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••• M••••••••• L••	C••• L••	Mar 19, 2024	May 19, 2023	-305	Firm change after gap	RIA to ibd
L•• F•••••••• L••	S••••••••• A•••• M••••••••• L••	Dec 22, 2021	Apr 13, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
167798:155344:AZ:2024-03-19	Mar 19, 2024	May 19, 2023	SCOTTSDALE, AZ	Firm change after gap

Relationships

Registered with (3)

→ C••• L••Registered adviserregistration: current employment
May 19, 2023 to presentfactForm ADV
→ S••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Apr 13, 2022 to Mar 19, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 2, 2016 to Dec 22, 2021factForm ADV

Dated events

Occurred
Mar 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a6c5b24-0060-54c6-ad46-8c8222048450
First observed: Nov 2, 2016
Last observed: Sep 15, 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.