DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

C••••••••• N••••• K•••••••

Advisor at C••••• I••••••••• A••••••• L••

SCHAUMBURG, IL

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Search this name across graphsid dfx:ria:c49e9fc3-6008-bdc6-8c86-6c33a170f98f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2009 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 23, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	SCHAUMBURG, IL	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Mar 26, 2021	Sep 5, 2025	no	Atlanta, GA\|Asheville, NC\|Las Vegas, NV\|DALLAS, TX\|Las Vegas, NV

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
I•• A•••••••• L••	A•••••• A••••••• S•••••••	Jun 1, 2021	Mar 26, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
168012:104556:GA:2021-06-01	Jun 1, 2021	Mar 26, 2021	ALTANTA, GA	Firm change after gap
6413:168728:GA:2016-02-03	Feb 3, 2016	Aug 8, 2013	ATLANTA, GA	Firm change after gap
168728:168012:GA:2015-07-09	Jul 9, 2015	Nov 19, 2013	ATLANTA, GA	Firm change after gap

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Mar 26, 2021 to Sep 5, 2025factForm ADV
→ I•• A•••••••• L••Registered adviserregistration: previous registration
Nov 19, 2013 to Jun 1, 2021factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c49e9fc3-6008-bdc6-8c86-6c33a170f98f
First observed: Jan 7, 2009
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.