DFX Intelligence

L••• S•••••• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor19 years in industry

L••• S•••••• O•••••

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

TROY, MI

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Search this name across graphsid dfx:ria:69ddd581-5ace-223e-3964-9ec2eaebb7e0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 17, 2015 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: Oct 24, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 20, 2023	n/a	yes	TROY, MI	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jun 9, 2021	Jun 30, 2023	no	TROY, MI\|MARINETTE, WI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	C••••• I••••••••• A••••••• L••	Jun 30, 2023	Jun 20, 2023	-10	Bulk transfer	Ibd to ibd
V••• F•••••••• A•••••••• I•••	C••••• A•••••• N••••••• L••	Jun 9, 2021	Jun 9, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
2882:13572:WI:2021-06-09	Jun 9, 2021	Jun 9, 2021	MARINETTE, WI	Firm change

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 20, 2023 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jun 9, 2021 to Jun 30, 2023factForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 13, 2019 to Jun 9, 2021factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69ddd581-5ace-223e-3964-9ec2eaebb7e0
First observed: Aug 17, 2015
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.