DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

M•• L••• C•••••••

Advisor at R••••••••• C•••••• M•••••••••

••• Locked

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:4b45d1d4-0792-48b3-a857-e3d58dd43e20

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2002 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••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 21, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Aug 20, 2025	n/a	yes	Westfield, IN	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Mar 1, 2021	n/a	yes	Chicago, IL\|OAK BROOK, IL\|Westfield, IN	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• • C•	R••••••••• C•••••• M•••••••••	Mar 16, 2021	Mar 1, 2021	-15	Firm change	RIA to ibd
B•• H••••• F•••••••• A•••••••• I••	W••••••• • C•	Apr 5, 2006	Oct 1, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
104633:291361:IL:2021-03-15	Mar 16, 2021	Mar 1, 2021	OAK BROOK, IL	Firm change

Relationships

Registered with (6)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Aug 20, 2025 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Mar 1, 2021 to presentfactForm ADV
→ W••••••• • C•Registered adviserregistration: previous registration
Oct 1, 2007 to Mar 16, 2021factForm ADV
→ B•• H••••• F•••••••• A•••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b45d1d4-0792-48b3-a857-e3d58dd43e20
First observed: Mar 21, 2002
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.