DFX Intelligence

N•••••••• W•••••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

N•••••••• W•••••• K•••••••

Advisor at C•••••••• C•••••• M••••••••• L••

O'FALLON, IL

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Search this name across graphsid dfx:ria:4e3ba948-3059-1ace-9530-90031a59e1c3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2006 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•••••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 8, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• C•••••• M••••••••• L••	Independent wealth	Aug 28, 2008	n/a	yes	O'FALLON, IL	Current employment
M••••• K••••• • C••••••• L••	Former SEC adviser	Jul 6, 2006	Aug 12, 2008	no	O'FALLON, IL\|LEBANON, IL\|FREEBURG, IL\|FAIRVIEW HEIGHTS, IL\|FAIRVIEW HEIGHTS, IL\|ST. LOUIS, MO\|ST. LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• K••••• • C••••••• L••	C•••••••• C•••••• M••••••••• L••	Aug 12, 2008	Aug 28, 2008	16	Firm change	Other

Relationships

Registered with (2)

→ C•••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Aug 28, 2008 to presentfactForm ADV
→ M••••• K••••• • C••••••• L••Registered adviserregistration: previous registration
Jul 6, 2006 to Aug 12, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e3ba948-3059-1ace-9530-90031a59e1c3
First observed: Jul 6, 2006
Last observed: Sep 14, 2026 9 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.