DFX Intelligence

M•••••• D•••• U••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor33 years in industry

M•••••• D•••• U••••••••

Advisor at C•••••• I••••••••• L••

WAUKESHA, WI

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Search this name across graphsid dfx:ria:d265dda5-d36b-1b74-f798-9303b86d049b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2006 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••••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Apr 7, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• I••••••••• L••	Asset manager	Feb 9, 2011	n/a	yes	WAUKESHA, WI	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Dec 19, 2006	Jan 30, 2007	no	SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	C•••••• I••••••••• L••	Jan 30, 2007	Feb 9, 2011	1,471	Firm change after gap	Other

Relationships

Registered with (2)

→ C•••••• I••••••••• L••Registered adviserregistration: current employment
Feb 9, 2011 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 19, 2006 to Jan 30, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d265dda5-d36b-1b74-f798-9303b86d049b
First observed: Dec 19, 2006
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.