DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner10 years in industry

T••••• R••••• S••••••••

Advisor at C•••••• L••

ROCKFORD, IL | Allentown, PA

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Search this name across graphsid dfx:ria:f805624c-f361-ca0f-4b57-88e313c396d2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: May 22, 2023 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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• L••	Independent wealth	Mar 11, 2026	n/a	yes	Allentown, PA\|ROCKFORD, IL	Current employment
N•••••••• F•••••••• G••••• I•••	Mixed wealth	May 22, 2023	Mar 5, 2026	no	ALLENTOWN, PA\|Allentown, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••••• F•••••••• G••••• I•••	C•••••• L••	Mar 5, 2026	Mar 11, 2026	6	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
122609:111221:PA:2026-03-05	Mar 5, 2026	Mar 11, 2026	ALLENTOWN, PA	Firm change

Relationships

Registered with (2)

→ C•••••• L••Registered adviserregistration: current employment
Mar 11, 2026 to presentfactForm ADV
→ N•••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
May 22, 2023 to Mar 5, 2026factForm ADV

Dated events

Occurred
Mar 5, 2026
Advisor changed firm
T••••• R••••• S•••••••• left N•••••••• F•••••••• G••••• I••• for C•••••• L•• (registered 2026-03-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f805624c-f361-ca0f-4b57-88e313c396d2
First observed: May 22, 2023
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.