DFX Intelligence

W•••••• R•••• R••••••: 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 / WealthAdvisorCertified Financial Planner16 years in industry

W•••••• R•••• R••••••

Advisor at C••• L••

OMAHA, NE | Woodlands, TX

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:8e1d8fad-2273-8473-916d-94401fbf4b85

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Sep 7, 2010 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••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 6, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 11

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jan 16, 2025	n/a	yes	Woodlands, TX\|OMAHA, NE	Current employment
R•• C••••••• L••	Independent wealth	Apr 26, 2023	Jan 15, 2025	no	SUGAR LAND, TX\|Royal Palm Beach, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C••••••• L••	C••• L••	Jan 15, 2025	Jan 16, 2025	1	Firm change	RIA to ibd
P•••••• P•••• L••	R•• C••••••• L••	Dec 31, 2023	Apr 26, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
226724:289312:CA:2018-12-31	Dec 31, 2018	Jun 6, 2018	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (11)

→ C••• L••Registered adviserregistration: current employment
Jan 16, 2025 to presentfactForm ADV
→ R•• C••••••• L••Registered adviserregistration: previous registration
Apr 26, 2023 to Jan 15, 2025factForm ADV
→ P•••••• P•••• L••Registered adviserregistration: previous registration
Apr 9, 2020 to Dec 31, 2023factForm ADV
→ C•••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration

Dated events

Occurred
Jan 15, 2025
A•••••• firm change
W•••••• R•••• R•••••• left R•• C••••••• L•• for C••• L•• (registered 2025-01-16)
Form ADVobserved 7 days ago
Occurred
Dec 31, 2023
A•••••• firm change
W•••••• R•••• R•••••• left P•••••• P•••• L•• for R•• C••••••• L•• (registered 2023-04-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e1d8fad-2273-8473-916d-94401fbf4b85
First observed: Sep 7, 2010
Last observed: Sep 14, 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.