DFX Intelligence

Data Factory

G•••••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

G•••••• P•••••

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

Mundelein, IL | Baton Rouge, LA

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:418145fb-872b-62d8-d60a-4ff96deab118

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 26, 1999 to Sep 15, 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: Nov 26, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jun 30, 2025	n/a	yes	Baton Rouge, LA\|Mundelein, IL	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 12, 2020	Apr 29, 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
F•••• A••••• A••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
O•••••• S••••••• A••••••• C•••	F•••• A••••• A••••••• S•••••••• I•••	Oct 24, 2012

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 12, 2020 to Apr 29, 2025factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 3, 2013 to Nov 12, 2020factForm ADV
→ O•••••• S••••••• A••••••• C•••Registered adviserregistration: previous registration
Jun 14, 2006 to Oct 24, 2012factForm ADV
→ H••••••• C•••••• M••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:418145fb-872b-62d8-d60a-4ff96deab118
First observed: Jul 26, 1999
Last observed: Sep 15, 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.