DFX Intelligence

C•••••••• M••• T••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor28 years in industry

C•••••••• M••• T••••••••

Advisor at C••••••••• S••••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:31ba0496-62cc-fe36-787c-8f6204ae36ee

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 18, 2002 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••••••••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 2, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• S••••••••• L••	Bd affiliated wealth	Jan 31, 2024	n/a	yes	OVERLAND PARK, KS\|GREEN BAY, WI\|Wisconsin Dells, WI	Current employment
B••••••• I••••••••• M••••••••• L••	Former SEC adviser	Oct 18, 2002	Jul 27, 2020	no	GREEN BAY, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• I••••••••• M••••••••• L••	C••••••••• S••••••••• L••	Jul 27, 2020	Jan 31, 2024	1,283	Firm change after gap	Other

Relationships

Registered with (2)

→ C••••••••• S••••••••• L••Registered adviserregistration: current employment
Jan 31, 2024 to presentfactForm ADV
→ B••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 18, 2002 to Jul 27, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:31ba0496-62cc-fe36-787c-8f6204ae36ee
First observed: Oct 18, 2002
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.