DFX Intelligence

S••••• M•••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

S••••• M•••• G•••••

Advisor at C••• L••

OMAHA, NE | Baton Rouge, LA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2009 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: Nov 4, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Mar 13, 2023	n/a	yes	OMAHA, NE\|Baton Rouge, LA	Current employment
T•• S•••• F•••••••• G••••	Former SEC adviser	Jan 10, 2018	May 11, 2023	no	BATON ROUGE, LA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• S•••• F•••••••• G••••	C••• L••	May 11, 2023	Mar 13, 2023	-59	Firm change after gap	RIA to ibd
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	T•• S•••• F•••••••• G••••	Jan 8, 2018	Jan 10, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
114975:155344:LA:2023-05-11	May 11, 2023	Mar 13, 2023	BATON ROUGE, LA	Firm change after gap
149018:114975:LA:2018-01-08	Jan 8, 2018	Jan 10, 2018	BATON ROUGE, LA	Firm change

Relationships

Registered with (4)

→ C••• L••Registered adviserregistration: current employment
Mar 13, 2023 to presentfactForm ADV
→ T•• S•••• F•••••••• G••••Registered adviserregistration: previous registration
Jan 10, 2018 to May 11, 2023factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Sep 26, 2017 to Jan 8, 2018factForm ADV
→ S•••••••• A••••••• L••

Dated events

Order

Occurred
11 May 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 16, 2009
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.