A••••• B•••••

Advisor at C•••••• L••

ROCKFORD, IL | Charlotte, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:723f8768-80fc-3dac-4748-f908e87497d1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Nov 21, 2016 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: C•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• L••	Independent wealth	Oct 15, 2025	n/a	yes	ROCKFORD, IL\|Charlotte, NC	Current employment
C•••••••	Institutional manager	Mar 5, 2025	Oct 18, 2025	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••	C•••••• L••	Oct 18, 2025	Oct 15, 2025	-3	Firm change	Other
C•••••••• W••••• C••••••••• L••	C•••••••	Jul 14, 2025	Mar 5, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
300003:175112:NC:2025-07-14	Jul 14, 2025	Mar 5, 2025	CHARLOTTE, NC	Firm change after gap

Relationships

Registered with (5)

→ C•••••• L••Registered adviserregistration: current employment
Oct 15, 2025 to presentfactForm ADV
→ C•••••••Registered adviserregistration: previous registration
Mar 5, 2025 to Oct 18, 2025factForm ADV
→ C•••••••• W••••• C••••••••• L••Registered adviserregistration: previous registration
Jun 29, 2023 to Jul 14, 2025factForm ADV
→ A••••• A•••••••

Dated events

Occurred
Oct 18, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 14, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 16, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:723f8768-80fc-3dac-4748-f908e87497d1
First observed: Nov 21, 2016
Last observed: Sep 15, 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.