DFX Intelligence

F•••• L•• A••• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner35 years in industry

F•••• L•• A••• 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, 3:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2000 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: Sep 13, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Mar 6, 2014	n/a	yes	LIBERTYVILLE, IL\|OMAHA, NE\|Nashville, TN\|Nashville, TN	Current employment
H••••••• W•••••• F•••••••• G••••	n/a	Jul 29, 2002	Mar 31, 2014	no	LIBERTYVILLE, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••• L••	Jul 10, 2014	Mar 6, 2014	-126	Firm change after gap	Other
H••••••• W•••••• F•••••••• G••••	C••• L••	Mar 31, 2014	Mar 6, 2014

Relationships

Registered with (3)

→ C••• L••Registered adviserregistration: current employment
Mar 6, 2014 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 15, 2000 to Jul 10, 2014factForm ADV
→ H••••••• W•••••• F•••••••• G••••Registered adviserregistration: previous registration
Jul 29, 2002 to Mar 31, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 15, 2000
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.