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B•••••• A•••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor28 years in industry

B•••••• A•••• D•••••

Advisor at C••• L••

San Rafael, CA | Vincennes, IN | OMAHA, NE

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Search this name across graphsid dfx:ria:2eb28d51-5c80-833d-9981-2646a8cb1d80

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 17, 2000 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: Apr 3, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 12derivedfrom 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	Oct 9, 2013	n/a	yes	San Rafael, CA\|OMAHA, NE\|Vincennes, IN	Current employment
D••••• W••••• M•••••••••	n/a	Jul 22, 2013	Sep 3, 2013	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
L•• F•••••••• L••	D••••• W••••• M•••••••••	Feb 21, 2014	Jul 22, 2013	-214	Firm change after gap	Other
D••••• W••••• M•••••••••	C••• L••	Sep 3, 2013

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Oct 9, 2013 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 19, 2007 to Feb 21, 2014factForm ADV
→ D••••• W••••• M•••••••••Registered adviserregistration: previous registration
Jul 22, 2013 to Sep 3, 2013factForm ADV
→ W•••• F•••• A•••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2eb28d51-5c80-833d-9981-2646a8cb1d80
First observed: May 17, 2000
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.