DFX Intelligence

D••••• E••••• P••••••: 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 / WealthAdvisordual registered (broker-dealer)30 years in industry

D••••• E••••• P••••••

Advisor at C• W••••• M••••••••• L••

SCHAUMBURG, IL | Eagan, MN

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:9377d1b3-4ce7-fab4-166b-0265cb8157a9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 22, 1997 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• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 15, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• W••••• M••••••••• L••	Independent wealth	Jan 5, 2023	n/a	yes	Eagan, MN\|SCHAUMBURG, IL	Current employment
S• A•••••••• L••	Independent wealth	Jan 13, 2021	Jan 4, 2023	no	Edina, MN\|ATLANTA, GA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S• A•••••••• L••	C• W••••• M••••••••• L••	Jan 4, 2023	Jan 5, 2023	1	Firm change	RIA to RIA
R•••••• J•••• • A••••••••• I•••	S• A•••••••• L••	May 1, 2017	Apr 26, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
154680:134922:GA:2023-01-04	Jan 4, 2023	Jan 5, 2023	ATLANTA, GA	Firm change

Relationships

Registered with (5)

→ C• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 5, 2023 to presentfactForm ADV
→ S• A•••••••• L••Registered adviserregistration: previous registration
Jan 13, 2021 to Jan 4, 2023factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Aug 24, 2015 to May 1, 2017factForm ADV
→ R•• C•••••• M••••••• L••

Dated events

Occurred
Jan 4, 2023
Advisor changed firm
D••••• E••••• P•••••• left S• A•••••••• L•• for C• W••••• M••••••••• L•• (registered 2023-01-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9377d1b3-4ce7-fab4-166b-0265cb8157a9
First observed: Jan 22, 1997
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.