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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

C••••••••• L••• C•••

Advisor at D•••••••• W••••• M••••••••• L••

SOUTH JORDAN, UT

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:40f33ea6-6e09-6620-7f21-e44447d00fda

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 18, 2011 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: D•••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 20, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
D•••••••• W••••• M••••••••• L••	Independent wealth	Mar 27, 2024	n/a	yes	SOUTH JORDAN, UT	Current employment
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 15, 2023	Mar 11, 2025	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
D•••••••• A••••••• S•••••••• L••	D•••••••• W••••• M••••••••• L••	Mar 11, 2025	Mar 27, 2024	-349	Firm change after gap	Ibd to RIA
D•••••••• W••••• M••••••••• I•••	D•••••••• A••••••• S•••••••• L••	Sep 24, 2015

Team moves

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

Team	Left	Joined	From	Kind
326060:329878:UT:2025-03-11	Mar 11, 2025	Mar 27, 2024	SOUTH JORDAN, UT	Firm change after gap

Relationships

Registered with (4)

→ D•••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 27, 2024 to presentfactForm ADV
→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 15, 2023 to Mar 11, 2025factForm ADV
→ D•••••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Mar 18, 2014 to Sep 24, 2015factForm ADV
→ D•••••••• W••••• M••••••••• L••

Dated events

Occurred
Mar 11, 2025
Advisor changed firm
C••••••••• L••• C••• left D•••••••• A••••••• S•••••••• L•• for D•••••••• W••••• M••••••••• L•• (registered 2024-03-27)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40f33ea6-6e09-6620-7f21-e44447d00fda
First observed: Oct 18, 2011
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.