DFX Intelligence

C•••••• S••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C•••••• S••• L••

CRD 299180

CHICAGO, IL

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Search this name across graphsid dfx:ria:6edee8ec-fcba-3fcb-6093-aadc32344dcc

Data as of Oct 18, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Oct 18, 2018 to Oct 18, 2018
1 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-114301
CRD: 299180

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• E•••• D••••	ELECTED MANAGER	F	yes	01/2017	Oct 18, 2018	Oct 18, 2018
C••••••• S••••• P••••	President	Na	yes	04/2018	Oct 18, 2018	Oct 18, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• A•••• M••••••••• L••	n/a	Independent wealth	$79B	N	yes	n/a
C•••••• P•••••• C••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•••••• R••• E•••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Avon	Ct	United States	1	yes

Relationships

Affiliated with (1)

→ C•••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← S••••• A••• H•••••OwnerELECTED MANAGER, ownership code C, individual
Oct 18, 2018 to presentfactForm ADV
← P•••••• K•••••• K•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 18, 2018 to presentfactForm ADV
← C••••••• S••••• P••••OwnerPRESIDENT, ownership code NA, individual

Dated events

Occurred
Oct 18, 2018
First Form ADV filing
C•••••• S••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6edee8ec-fcba-3fcb-6093-aadc32344dcc
First observed: Oct 18, 2018
Last observed: Oct 18, 2018 96 months ago
Source families: Federal regulator filings
3 registered feeds 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.