DFX Intelligence

T••••• H••••• L•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

T••••• H••••• L•••••••••

Advisor at L••••••• S••••••••• C••••

Columbia, MO | ROCHESTER, NY

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:0095233e-7f9c-019c-f411-d32ad5153379

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2002 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Oct 30, 2018	n/a	yes	ROCHESTER, NY\|Columbia, MO	Current employment
F•••••••• E••••• S•••••••• I•••	Former SEC adviser	Jul 8, 2016	Nov 6, 2018	no	COLUMBIA, MO\|OAK LAWN, IL\|LIVONIA, MI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• E••••• S•••••••• I•••	L••••••• S••••••••• C••••	Nov 6, 2018	Oct 30, 2018	-7	Firm change	Ibd to RIA
N••• F•••••••• G••••• I•••	F•••••••• E••••• S•••••••• I•••	Jul 6, 2016	Jul 8, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
18464:16204:MI:2018-11-01	Nov 6, 2018	Oct 30, 2018	LIVONIA, MI	Firm change

Relationships

Registered with (4)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Oct 30, 2018 to presentfactForm ADV
→ F•••••••• E••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 8, 2016 to Nov 6, 2018factForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Nov 17, 2004 to Jul 6, 2016factForm ADV
→ C••••• I••••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0095233e-7f9c-019c-f411-d32ad5153379
First observed: Nov 21, 2002
Last observed: Sep 15, 2026 8 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.