DFX Intelligence

C•••• A•••• J••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

C•••• A•••• J••••••

Advisor at C• W••••• M••••••••• L••

Minnetonka, MN | SCHAUMBURG, IL

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Search this name across graphsid dfx:ria:b880c879-2af4-17a0-bacb-1869ca670f1f

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Mar 2, 2016 to Sep 18, 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: Sep 15, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

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

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

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 (2)

→ 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

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jan 4, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Occurred
Sep 17, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b880c879-2af4-17a0-bacb-1869ca670f1f
First observed: Mar 2, 2016
Last observed: Sep 18, 2026 5 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.