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

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RIA / WealthAdvisor10 years in industry

L•• A••••• W•••

Advisor at C•••••• S••••• • C••• I•••

Lone Tree, CO | Fairhaven, MA

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:3711c223-9d67-5435-59f0-c69c8c1aabeb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 7, 2017 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom 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•••••• S••••• • C••• I•••	National bd RIA	Mar 31, 2022	n/a	yes	Lone Tree, CO\|Fairhaven, MA	Current employment
C•••••• S••••• I••••••••• M••••••••• I••	Other adviser	Oct 13, 2020	Oct 6, 2022	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
C•••••• S••••• I••••••••• M••••••••• I••	C•••••• S••••• • C••• I•••	Oct 6, 2022	Mar 31, 2022	-189	Channel change	Other
C•••••• S••••• I••••••••• A•••••••• I••	C•••••• S••••• I••••••••• M••••••••• I••	Oct 28, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
151739:106753:CA:2020-10-20	Oct 28, 2020	Oct 13, 2020	SAN FRANCISCO, CA	Firm change
104966:151739:MA:2018-03-30	Mar 30, 2018	Mar 7, 2018	BOSTON, MA	Firm change

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Mar 31, 2022 to presentfactForm ADV
→ C•••••• S••••• I••••••••• M••••••••• I••Registered adviserregistration: previous registration
Oct 13, 2020 to Oct 6, 2022factForm ADV
→ C•••••• S••••• I••••••••• A•••••••• I••Registered adviserregistration: previous registration
Mar 7, 2018 to Oct 28, 2020factForm ADV
→ T••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3711c223-9d67-5435-59f0-c69c8c1aabeb
First observed: Jul 7, 2017
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.