DFX Intelligence

C•••• T••••• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

C•••• T••••• W••••••

Advisor at C••••• P••••••• L••

Louisville, KY | NEW YORK, NY

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Search this name across graphsid dfx:ria:866810cf-8849-b442-03a8-27094b685f56

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2014 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 31, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Jan 1, 2025	n/a	yes	NEW YORK, NY\|Louisville, KY	Current employment
C••••• P••••••• O••• L••	Institutional manager	Jun 20, 2016	Apr 21, 2023	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• P••••••• O••• L••	C••••• P••••••• L••	Apr 21, 2023	Jan 1, 2025	621	Bulk transfer	RIA to RIA
O• I••••••••• M••••••••• C•	C••••• P••••••• O••• L••	Jun 8, 2016	Jun 20, 2016

Relationships

Registered with (4)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ C••••• P••••••• O••• L••Registered adviserregistration: previous registration
Jun 20, 2016 to Apr 21, 2023factForm ADV
→ O• I••••••••• M••••••••• C•Registered adviserregistration: previous registration
Oct 28, 2015 to Jun 8, 2016factForm ADV
→ D••••• F•••••••• G••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:866810cf-8849-b442-03a8-27094b685f56
First observed: Mar 31, 2014
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.