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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

C••••••••• M•••••• C••••••

Advisor at L•• F•••••••• L••

SAN DIEGO, CA | Lincoln, NE | LINCOLN, NE

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Search this name across graphsid dfx:ria:6121a1f1-688c-ae76-7657-84de7b7e3c35

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 18, 1997 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: L•• F•••••••• 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: Jun 2, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Nov 23, 2025	n/a	yes	LINCOLN, NE\|SAN DIEGO, CA\|Lincoln, NE	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	Nov 21, 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
O•••• W•••••• I•••	L•• F•••••••• L••	Nov 21, 2025	Nov 23, 2025	2	Firm change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 23, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jun 14, 2024 to Nov 21, 2025factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 22, 2017 to Jun 14, 2024factForm ADV
→ S•• I••••••••• I•••

Dated events

Occurred
Nov 21, 2025
Advisor changed firm
C••••••••• M•••••• C•••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-11-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6121a1f1-688c-ae76-7657-84de7b7e3c35
First observed: Aug 18, 1997
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.