DFX Intelligence

L••••• A•••••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor10 years in industry

L••••• A•••••• M•••••••

Advisor at C•••••• L••

ROCKFORD, IL | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:1936905d-9736-891f-3c90-cba07497e803

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 6, 2017 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: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• L••	Independent wealth	May 26, 2022	n/a	yes	CHARLOTTE, NC\|ROCKFORD, IL	Current employment
V•••• P••••••• L••	Independent wealth	Mar 22, 2021	Feb 28, 2022	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V•••• P••••••• L••	C•••••• L••	Feb 28, 2022	May 26, 2022	87	Firm change	RIA to RIA
N••••• C•••••• M•••••••••	V•••• P••••••• L••	Mar 16, 2021	Mar 22, 2021

Relationships

Registered with (4)

→ C•••••• L••Registered adviserregistration: current employment
May 26, 2022 to presentfactForm ADV
→ V•••• P••••••• L••Registered adviserregistration: previous registration
Mar 22, 2021 to Feb 28, 2022factForm ADV
→ N••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Dec 16, 2017 to Mar 16, 2021factForm ADV
→ S••••• F•••••••• A•••••••• L••

Dated events

Occurred
Feb 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1936905d-9736-891f-3c90-cba07497e803
First observed: Apr 6, 2017
Last observed: Sep 14, 2026 9 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.