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M••• J•••• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner26 years in industry

M••• J•••• W•••••••

Advisor at C••• L••

OMAHA, NE | Cincinnati, OH

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Search this name across graphsid dfx:ria:d4344bc5-f529-7d5a-a166-6fcdde76f21d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 10, 2004 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 14, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Nov 10, 2025	n/a	yes	Cincinnati, OH\|OMAHA, NE	Current employment
T•••• W••••• P•••••••• L••	Former SEC adviser	Jul 16, 2021	Mar 23, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• W••••• P•••••••• L••	C••• L••	Mar 23, 2026	Nov 10, 2025	-133	Firm change after gap	RIA to ibd
C•••••• S••••••• W••••• M••••••••• L••	T•••• W••••• P•••••••• L••	Dec 8, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
174434:155344:OH:2026-03-23	Mar 23, 2026	Nov 10, 2025	CINCINNATI, OH	Firm change after gap

Relationships

Registered with (4)

→ C••• L••Registered adviserregistration: current employment
Nov 10, 2025 to presentfactForm ADV
→ T•••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Jul 16, 2021 to Mar 23, 2026factForm ADV
→ C•••••• S••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 27, 2007 to Dec 8, 2020factForm ADV
→ S•••••••• A••••••• L••

Dated events

Occurred
Mar 23, 2026
Advisor changed firm
M••• J•••• W••••••• left T•••• W••••• P•••••••• L•• for C••• L•• (registered 2025-11-10)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4344bc5-f529-7d5a-a166-6fcdde76f21d
First observed: Jun 10, 2004
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.