DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

M•••••• S•••• D••••

Advisor at C••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 16, 1999 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••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 9, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Apr 24, 2013	n/a	yes	OMAHA, NE\|Amarillo, TX\|Southlake, TX\|The Woodlands, TX	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jan 17, 2017	Aug 3, 2022	no	AMARILLO, TX\|TUCSON, AZ\|THE WOODLANDS, TX\|SOUTHLAKE, TX\|HAMILTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	n/a	Aug 3, 2022	n/a	n/a	Departure no registered destination	Departure
L•• F•••••••• L••	C••• L••	Apr 27, 2017	Apr 24, 2013	-1,464

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:155344:NE:2017-04-27	Apr 27, 2017	Apr 24, 2013	OMAHA, NE	Firm change after gap

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Apr 24, 2013 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jan 17, 2017 to Aug 3, 2022factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 6, 2004 to Apr 27, 2017factForm ADV
→ P••••••• F•••••••• G••••Registered adviser

Dated events

Order

Occurred
3 Aug 2022
Advisor departed, no destination yet
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 16, 1999
Last observed: Sep 15, 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.