DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

L••• A•• K••••••• P••••

Advisor at R••••• W• B•••• • C•• I•••••••••

Sarasota, FL | LAKEWOOD RANCH, FL

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Search this name across graphsid dfx:ria:38a65143-19f1-c4e0-ce76-a8de35329be4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 30, 1999 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: R••••• W• B•••• • C•• I•••••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Dec 12, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 26derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Oct 28, 1999	n/a	yes	Sarasota, FL\|LAKEWOOD RANCH, FL	Current employment
H••••••• C•••••• M••••••••• I••	Former SEC adviser	Jul 30, 1999	Aug 22, 2006	no	LAKE FOREST, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••• C•••••• M••••••••• I••	R••••• W• B•••• • C•• I•••••••••	Aug 22, 2006	Oct 28, 1999	-2,490	Firm change after gap	Other

Relationships

Registered with (2)

→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: current employment
Oct 28, 1999 to presentfactForm ADV
→ H••••••• C•••••• M••••••••• I••Registered adviserregistration: previous registration
Jul 30, 1999 to Aug 22, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38a65143-19f1-c4e0-ce76-a8de35329be4
First observed: Jul 30, 1999
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.