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S•••••• C••••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)47 years in industry

S•••••• C••••• L•••••

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

Naples, FL

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Search this name across graphsid dfx:ria:39c4526e-5f31-2367-f398-dff474d0e7fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 16, 1997 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 1978earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 5derivedfrom 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••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 12, 2020	n/a	yes	Naples, FL	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Mar 31, 2015	Nov 12, 2020	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•••••••• A••••••• C•••••••••	F•••• A••••• A••••••• S•••••••• I•••	Dec 31, 2021	Mar 31, 2015	-2,467	Firm change after gap	Other
F•••• A••••• A••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 12, 2020

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ L••••• F•••••••• A••••••• C•••••••••Registered adviserregistration: previous registration
Nov 16, 1997 to Dec 31, 2021factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 31, 2015 to Nov 12, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39c4526e-5f31-2367-f398-dff474d0e7fb
First observed: Nov 16, 1997
Last observed: Sep 14, 2026 7 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.