DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultant24 years in industry

C••••••• J••• Y•••

Advisor at C••• L••

OMAHA, NE | Vincennes, IN

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 4, 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: Jun 20, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jan 15, 2015	n/a	yes	Vincennes, IN\|OMAHA, NE	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 21, 2014	Dec 17, 2014	no	VINCENNES, IN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	C••• L••	Dec 17, 2014	Jan 15, 2015	29	Firm change	Other
C••••• I••••••••• S••••••• L••	C••••• I••••••••• A••••••• L••	Jan 21, 2014	Jan 21, 2014

Relationships

Registered with (6)

→ C••• L••Registered adviserregistration: current employment
Jan 15, 2015 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to Dec 17, 2014factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Jan 28, 2013 to Jan 21, 2014factForm ADV
→ F•••• T•••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 4, 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.