DFX Intelligence

G•••••• A••• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant31 years in industry

G•••••• A••• W••••••

Advisor at C••• L••

Littleton, CO | OMAHA, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e365a083-1f61-1ad2-9dd4-d46dd029cc8c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jun 21, 2001 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••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 28, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jun 9, 2025	n/a	yes	Littleton, CO\|OMAHA, NE	Current employment
M•••• W••••• M••••••••• L••	Former SEC adviser	Aug 26, 2016	Dec 14, 2016	no	Littleton, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • A••••••••• L••	M••••• L•••••	Sep 12, 2025	May 5, 2014	-4,148	Firm change after gap	Other
C•••••• I••••••••• G•••• I••	M•••• W••••• M••••••••• L••	Dec 18, 2019	Aug 26, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
114066:174406:CO:2019-12-18	Dec 18, 2019	Aug 26, 2016	LITTLETON, CO	Firm change after gap
161075:114066:CO:2015-04-02	Apr 2, 2015	May 13, 2016	LITTLETON, CO	Firm change after gap

Relationships

Registered with (9)

→ C••• L••Registered adviserregistration: current employment
Jun 9, 2025 to presentfactForm ADV
→ W•••••• • A••••••••• L••Registered adviserregistration: previous registration
Jun 4, 2010 to Sep 12, 2025factForm ADV
→ C•••••• I••••••••• G•••• I••Registered adviserregistration: previous registration
May 13, 2016 to Dec 18, 2019factForm ADV
→ M•••• W••••• M••••••••• L••

Dated events

Occurred
Sep 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e365a083-1f61-1ad2-9dd4-d46dd029cc8c
First observed: Jun 21, 2001
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.