DFX Intelligence

R••••• L••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R••••• L••• S••••••

Advisor at C•• A••••••• L••

ROCKY RIVER, OH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 17, 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•• A••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jul 14, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•• A••••••• L••	State registered	Jun 22, 2006	n/a	yes	ROCKY RIVER, OH	Current employment
T•• T••••••••• G••••	n/a	Apr 30, 2001	Nov 25, 2003	no	SHAKER HTS., OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C•• A••••••• L••	Jun 29, 2006	Jun 22, 2006	-7	Firm change	Other
T•• T••••••••• G••••	C•• A••••••• L••	Nov 25, 2003	Jun 22, 2006

Relationships

Registered with (3)

→ C•• A••••••• L••Registered adviserregistration: current employment
Jun 22, 2006 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 17, 2001 to Jun 29, 2006factForm ADV
→ T•• T••••••••• G••••Registered adviserregistration: previous registration
Apr 30, 2001 to Nov 25, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 17, 2001
Last observed: Sep 14, 2026 10 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.