DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

C••••• A•••••• S••••••

Advisor at C•••••• A••••••• L••

Northbrook, IL

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Search this name across graphsid dfx:ria:c213750b-022c-a964-048e-6a714b0092ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2005 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•••••• A••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Nov 18, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A••••••• L••	Asset manager	Dec 17, 2012	n/a	yes	Northbrook, IL	Current employment
C•••••• W••••• M••••••••• L••	Independent wealth	Sep 28, 2009	Dec 12, 2012	no	NAPERVILLE, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• W••••• M••••••••• L••	C•••••• A••••••• L••	Dec 12, 2012	Dec 17, 2012	5	Firm change	Other
O••••••••• • C•• I•••	C•••••• W••••• M••••••••• L••	Apr 2, 2009	Sep 28, 2009

Relationships

Registered with (5)

→ C•••••• A••••••• L••Registered adviserregistration: current employment
Dec 17, 2012 to presentfactForm ADV
→ C•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 28, 2009 to Dec 12, 2012factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
May 16, 2008 to Apr 2, 2009factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c213750b-022c-a964-048e-6a714b0092ec
First observed: Nov 21, 2005
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.