M••••• O••••••

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

LAKEWOOD RANCH, FL

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:34b7cc86-9fbc-fba7-c441-1cf64033d29c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2013 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: Apr 14, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 20, 2025	n/a	yes	LAKEWOOD RANCH, FL	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Jul 24, 2019	Sep 8, 2025	no	Lakewood Ranch, FL\|DALLAS, TX\|Lakewood Ranch, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 8, 2025	Aug 20, 2025	-19	Bulk transfer	Ibd to ibd
C•••••• I••••••••• A•••••••• L••	A•••••• A••••••• S•••••••	Jun 3, 2019	Jul 24, 2019

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 20, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jul 24, 2019 to Sep 8, 2025factForm ADV
→ C•••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 12, 2018 to Jun 3, 2019factForm ADV
→ G••••• C••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34b7cc86-9fbc-fba7-c441-1cf64033d29c
First observed: Nov 14, 2013
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.