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C•••••••• H••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner10 years in industry

C•••••••• H••••• S•••••

Advisor at C••• L••

OMAHA, NE | Cockeysville, MD

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Search this name across graphsid dfx:ria:a431adfe-46a7-f9e6-1ddd-4d9c3a0b005f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 4, 2016 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Aug 13, 2020	n/a	yes	OMAHA, NE\|Cockeysville, MD	Current employment
H•••••• T••••••• • K•••• L••	Independent wealth	Aug 4, 2016	Aug 18, 2020	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• T••••••• • K•••• L••	C••• L••	Aug 18, 2020	Aug 13, 2020	-5	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ C••• L••Registered adviserregistration: current employment
Aug 13, 2020 to presentfactForm ADV
→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
Aug 4, 2016 to Aug 18, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a431adfe-46a7-f9e6-1ddd-4d9c3a0b005f
First observed: Aug 4, 2016
Last observed: Sep 15, 2026 7 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.