DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

J•••• M•••• C••••••

Advisor at C••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2008 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: Oct 1, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Apr 24, 2013	n/a	yes	OMAHA, NE\|Amarillo, TX\|Southlake, TX\|The Woodlands, TX	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jan 17, 2017	Jan 18, 2017	no	AMARILLO, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	n/a	Jan 18, 2017	n/a	n/a	Departure no registered destination	Departure
L•• F•••••••• L••	C••• L••	Oct 28, 2015	Apr 24, 2013	-917

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:155344:TX:2015-10-28	Oct 28, 2015	Apr 24, 2013	AMARILLO, TX	Firm change after gap

Relationships

Registered with (4)

→ C••• L••Registered adviserregistration: current employment
Apr 24, 2013 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jan 17, 2017 to Jan 18, 2017factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 15, 2008 to Oct 28, 2015factForm ADV
→ P••••••• F•••••••• G••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 15, 2008
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.