G•••••• L• C•••

Advisor at M••••••

Cincinnati, OH

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:1bd928fe-fe00-60c3-d9ec-6b35079d07dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jun 18, 2021 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: M••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••	Bd affiliated wealth	Jan 31, 2025	n/a	yes	Cincinnati, OH	Current employment
C•••••• S••••••• W••••• M••••••••• L••	Former SEC adviser	Sep 2, 2022	Feb 18, 2025	no	CINCINNATI, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••••• W••••• M••••••••• L••	M••••••	Feb 18, 2025	Jan 31, 2025	-18	Firm change	RIA to ibd
M•••• C•••••• M••••••••• L•••	C•••••• S••••••• W••••• M••••••••• L••	Dec 1, 2022	Sep 2, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
129113:140195:OH:2025-02-18	Feb 18, 2025	Jan 31, 2025	CINCINNATI, OH	Firm change

Relationships

Registered with (3)

→ M••••••Registered adviserregistration: current employment
Jan 31, 2025 to presentfactForm ADV
→ C•••••• S••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 2, 2022 to Feb 18, 2025factForm ADV
→ M•••• C•••••• M••••••••• L•••Registered adviserregistration: previous registration
Jun 18, 2021 to Dec 1, 2022factForm ADV

Dated events

Occurred
Feb 18, 2025
Advisor changed firm
G•••••• L• C••• left C•••••• S••••••• W••••• M••••••••• L•• for Mariner (registered 2025-01-31)
Form ADVobserved 7 days ago
Occurred
Dec 1, 2022
Advisor changed firm
G•••••• L• C••• left M•••• C•••••• M••••••••• L••• for C•••••• S••••••• W••••• M••••••••• L•• (registered 2022-09-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1bd928fe-fe00-60c3-d9ec-6b35079d07dd
First observed: Jun 18, 2021
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.