DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

A••••• L•••• K•••••

Advisor at C••••• I••••••••• A••••••• L••

ANNAPOLIS, MD

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Search this name across graphsid dfx:ria:1ae54d38-f3d8-b4df-b5ed-d9cd1e875971

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 16, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 21, 2024	n/a	yes	ANNAPOLIS, MD	Current employment
W•••• F•••• A•••••••	Wirehouse	Feb 19, 2015	Oct 2, 2017	no	ANNAPOLIS, MD	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	C••••• I••••••••• A••••••• L••	Oct 2, 2017	Mar 21, 2024	2,362	Firm change after gap	Wirehouse to ibd
M••••• S••••••	W•••• F•••• A•••••••	Feb 27, 2015	Feb 19, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:19616:MD:2015-02-27	Feb 27, 2015	Feb 19, 2015	ANNAPOLIS, MD	Firm change

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 19, 2015 to Oct 2, 2017factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Feb 27, 2015factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ae54d38-f3d8-b4df-b5ed-d9cd1e875971
First observed: Jan 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.