DFX Intelligence

E•••• A•• M•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

E•••• A•• M•••••••••

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

BROOKFIELD, WI

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Search this name across graphsid dfx:ria:50296b51-5e0a-6012-143b-c7b60a91447c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 3, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 21, 2014	n/a	yes	BROOKFIELD, WI	Current employment
E•••••••• P•••••••• S••••••••• I•••	Independent wealth	May 3, 2002	Feb 27, 2004	no	BROOKFIELD, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••••• P•••••••• S••••••••• I•••	C••••• I••••••••• A••••••• L••	Feb 27, 2004	Jan 21, 2014	3,616	Firm change after gap	Other

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jan 21, 2014 to presentfactForm ADV
→ E•••••••• P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
May 3, 2002 to Feb 27, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50296b51-5e0a-6012-143b-c7b60a91447c
First observed: May 3, 2002
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.