DFX Intelligence

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

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

T••••• L••• F••••••

Advisor at C•••• A••••••• C•••

Traverse City, MI | SALINA, KS

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Search this name across graphsid dfx:ria:834a96e8-6f49-98ed-5fd9-952d64847337

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 16, 2009 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•••• A••••••• C•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Dec 23, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• A••••••• L••	State registered	Dec 4, 2023	n/a	yes	Traverse City, MI\|SALINA, KS	Current employment
T• A••••••• L•••	Former SEC adviser	Aug 17, 2021	n/a	yes	SALINA, KS\|Traverse City, MI	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	C•••• A••••••• C•••	Jun 30, 2011	Aug 17, 2021	3,701	Firm change after gap	Wirehouse to state RIA

Relationships

Registered with (4)

→ C• A••••••• L••Registered adviserregistration: current employment
Dec 4, 2023 to presentfactForm ADV
→ C•••• A••••••• C•••Registered adviserregistration: current employment
Aug 17, 2021 to presentfactForm ADV
→ T• A••••••• L•••Registered adviserregistration: current employment
Aug 17, 2021 to presentfactForm ADV
→ J••• M••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:834a96e8-6f49-98ed-5fd9-952d64847337
First observed: Sep 16, 2009
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.