DFX Intelligence

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

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RIA / WealthAdvisor32 years in industry

C•••• E••••• C•••••••

Advisor at C••••••• M••••• L••

NEW CASTLE, PA

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Search this name across graphsid dfx:ria:c330df97-47e9-f0e4-5dbe-36a8ad2344f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2004 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••••••• M••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Aug 11, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• M••••• L••	Asset manager	Jun 30, 2017	n/a	yes	NEW CASTLE, PA	Current employment
C••••• I••••••••• M••••••••• L••	No RAUM reported	Jun 9, 2015	Jul 7, 2017	no	SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• M••••••••• L••	C••••••• M••••• L••	Jul 7, 2017	Jun 30, 2017	-7	Firm change	Other
F•••• A••••• A•••• M••••••••• I•••	C••••• I••••••••• M••••••••• L••	Nov 2, 2015	Jun 9, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
165436:286374:AZ:2017-07-07	Jul 7, 2017	Jun 30, 2017	SCOTTSDALE, AZ	Firm change
140292:165436:AZ:2015-10-30	Nov 2, 2015	Jun 9, 2015	SCOTTSDALE, AZ	Firm change after gap

Relationships

Registered with (6)

→ C••••••• M••••• L••Registered adviserregistration: current employment
Jun 30, 2017 to presentfactForm ADV
→ C••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 9, 2015 to Jul 7, 2017factForm ADV
→ F•••• A••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2007 to Nov 2, 2015factForm ADV
→ G•••••••• I••••••••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c330df97-47e9-f0e4-5dbe-36a8ad2344f3
First observed: Oct 4, 2004
Last observed: Sep 14, 2026 8 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.