DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)35 years in industry

C••••• L•• M•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Northbrook, IL

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:867a1f47-51c6-45ad-fbb9-4daa8bf44668

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 27, 1998 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Oct 27, 2025	n/a	yes	Northbrook, IL	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Dec 9, 2016	Oct 27, 2025	no	Flower Mound, TX\|WALTHAM, MA\|Northbrook, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Oct 27, 2025	Oct 27, 2025	0	Firm change	Ibd to ibd
M•• F•••••••• S•••••••• I•••	C••••••••• F•••••••• N••••••	Dec 14, 2016	Dec 9, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:134139:IL:2025-10-27	Oct 27, 2025	Oct 27, 2025	NORTHBROOK, IL	Firm change
14251:8032:IL:2016-12-14	Dec 14, 2016	Dec 9, 2016	CHICAGO, IL	Firm change

Relationships

Registered with (4)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Oct 27, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Dec 9, 2016 to Oct 27, 2025factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 2, 2015 to Dec 14, 2016factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

Occurred
Oct 27, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:867a1f47-51c6-45ad-fbb9-4daa8bf44668
First observed: May 27, 1998
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.