DFX Intelligence

C••••• L••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)28 years in industry

C••••• L••• N•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Richfield, OH | Maumee, OH

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Search this name across graphsid dfx:ria:a52cac6d-484c-ed9a-1f97-7767fc5b92ea

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 28, 2004 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 25, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Mar 16, 2015	n/a	yes	Maumee, OH\|Richfield, OH	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Sep 3, 2013	Mar 17, 2015	no	VALLEY VIEW, OH\|MAUMEE, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Mar 17, 2015	Mar 16, 2015	-1	Firm change	Other
F•••••••• M••••••••• S••••••••• I•••	C••••• A•••••• N••••••• L••	Mar 16, 2015	Sep 3, 2013

Relationships

Registered with (5)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Mar 16, 2015 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Sep 3, 2013 to Mar 17, 2015factForm ADV
→ F•••••••• M••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2013 to Mar 16, 2015factForm ADV
→ S••••• A•• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a52cac6d-484c-ed9a-1f97-7767fc5b92ea
First observed: May 28, 2004
Last observed: Sep 15, 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.