DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

C•••••••• L•• B•••••

Advisor at C••••••••• W••••• A•••••••• L••

PEORIA, IL | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:78de1f77-b638-2773-df42-9fbf3838b10c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2005 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••••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 27, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• A•••••••• L••	Bd affiliated wealth	Feb 27, 2012	n/a	yes	MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|PEORIA, IL	Current employment
C•••••• G•••••••• W••••• A•••••••	Former SEC adviser	Dec 16, 2005	Feb 27, 2012	no	PEORIA, IL\|MIDDLETON, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••••••• W••••• A•••••••	C••••••••• W••••• A•••••••• L••	Feb 27, 2012	Feb 27, 2012	0	Firm change	Other

Relationships

Registered with (2)

→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Feb 27, 2012 to presentfactForm ADV
→ C•••••• G•••••••• W••••• A•••••••Registered adviserregistration: previous registration
Dec 16, 2005 to Feb 27, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78de1f77-b638-2773-df42-9fbf3838b10c
First observed: Dec 16, 2005
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.