DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner32 years in industry

M••• S•••••• C••••

Advisor at C•••••• L••

MOUNT SHASTA, CA | ROCKFORD, IL

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:ea68e6c9-3d3f-dc7e-646b-3d2bc65ee45a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 11, 2007 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: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• L••	Independent wealth	Jan 12, 2023	n/a	yes	ROCKFORD, IL\|MOUNT SHASTA, CA	Current employment
E••• W••••• M••••••••• L••	Former SEC adviser	Feb 26, 2021	Jan 5, 2023	no	PETALUMA, CA\|Mount Shasta, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••• W••••• M••••••••• L••	C•••••• L••	Jan 5, 2023	Jan 12, 2023	7	Firm change	RIA to RIA
E••••• J••••	E••• W••••• M••••••••• L••	Dec 7, 2018	Dec 24, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
287882:111221:CA:2023-01-05	Jan 5, 2023	Jan 12, 2023	MOUNT SHASTA, CA	Firm change

Relationships

Registered with (3)

→ C•••••• L••Registered adviserregistration: current employment
Jan 12, 2023 to presentfactForm ADV
→ E••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2021 to Jan 5, 2023factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jan 11, 2007 to Dec 7, 2018factForm ADV

Dated events

Occurred
Jan 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ea68e6c9-3d3f-dc7e-646b-3d2bc65ee45a
First observed: Jan 11, 2007
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.