DFX Intelligence

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

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RIA / WealthAdvisor40 years in industry

S••••• C•••• H•••••••••

Advisor at C••• L••

Irvine, CA | OMAHA, NE

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Search this name across graphsid dfx:ria:d31425c1-7f48-5fcf-616b-fd9b2e02549f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 31, 1993 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: Jan 3, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jul 17, 2018	n/a	yes	Irvine, CA\|OMAHA, NE	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	Jul 15, 2026	no	IRVINE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	n/a	Jul 15, 2026	n/a	n/a	Departure no registered destination	Departure
C••••• A•••••• N••••••• L••	C••••••• P••••••• I••••••••• A•••••••• L••	Jun 29, 2023	Apr 29, 2005	-6,635

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:126777:CA:2023-06-29	Jun 29, 2023	Apr 29, 2005	IRVINE, CA	Firm change after gap

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Jul 17, 2018 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jun 29, 2023 to Jul 15, 2026factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Aug 12, 2004 to Jun 29, 2023factForm ADV
→ C••••••• P••••••• I••••••••• A•••••••• L••

Dated events

Occurred
Jul 15, 2026
A•••••• departure
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 29, 2023
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d31425c1-7f48-5fcf-616b-fd9b2e02549f
First observed: Jul 31, 1993
Last observed: Sep 15, 2026 7 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.