DFX Intelligence

J••••••• E••••• M••••••: 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 / WealthAdvisor18 years in industry

J••••••• E••••• M••••••

Advisor at C••• L••

Johnson City, TN | OMAHA, NE

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:ab4d0a18-72d1-0492-3ef9-b2d0a26c72ce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2008 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: May 9, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Aug 20, 2014	n/a	yes	Johnson City, TN\|OMAHA, NE\|Johnson City, TN	Current employment
G••• W••••• A•••••••• I•••	Former SEC adviser	Feb 18, 2014	Jul 1, 2016	no	KINGSPORT, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••• W••••• A•••••••• I•••	C••• L••	Jul 1, 2016	Aug 20, 2014	-681	Firm change after gap	Other
L•• F•••••••• L••	G••• W••••• A•••••••• I•••	Jun 26, 2013	Feb 18, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
140446:155344:TN:2016-07-01	Jul 1, 2016	Aug 20, 2014	KINGSPORT, TN	Firm change after gap

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Aug 20, 2014 to presentfactForm ADV
→ G••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 18, 2014 to Jul 1, 2016factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 13, 2012 to Jun 26, 2013factForm ADV
→ P•• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab4d0a18-72d1-0492-3ef9-b2d0a26c72ce
First observed: Jun 30, 2008
Last observed: Sep 14, 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.