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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

L••• M•••• M••••

Advisor at C•••••• A••••••• L••

NAPERVILLE, IL

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Search this name across graphsid dfx:ria:7c9602b1-30c0-82f6-7e05-d89575ed5fbb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2004 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•••••• A••••••• L••
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 29, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

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
C•••••• A••••••• L••	Asset manager	Nov 13, 2019	n/a	yes	NAPERVILLE, IL	Current employment
C•••••• W••••• M••••••••• L••	Independent wealth	Mar 15, 2013	Nov 13, 2019	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
C•••••• W••••• M••••••••• L••	C•••••• A••••••• L••	Nov 13, 2019	Nov 13, 2019	0	Firm change	Other
C•••••• A••••••• L••	C•••••• W••••• M••••••••• L••	Mar 15, 2013

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
143490:105758:IL:2019-11-01	Nov 13, 2019	Nov 13, 2019	NAPERVILLE, IL	Firm change

Relationships

Registered with (3)

→ C•••••• A••••••• L••Registered adviserregistration: previous registration
Dec 17, 2012 to Mar 15, 2013factForm ADV
→ C•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 15, 2013 to Nov 13, 2019factForm ADV
→ B••••••••• P•••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 30, 2004 to Nov 17, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c9602b1-30c0-82f6-7e05-d89575ed5fbb
First observed: Jun 30, 2004
Last observed: Sep 14, 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.