DFX Intelligence

N••• P•••• S•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

N••• P•••• S•••••••••

Advisor at L•• F•••••••• L••

HOFFMAN ESTATES, IL

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Search this name across graphsid dfx:ria:00c59476-29af-3103-2852-11c9bd50527a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Sep 12, 2007 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 11, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jan 23, 2025	n/a	yes	HOFFMAN ESTATES, IL	Current employment
W••••••• I•••••••••	Former SEC adviser	Jun 20, 2019	Jan 23, 2025	no	Hoffman Estates, IL\|CHICAGO, IL\|HOFFMAN ESTATES, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• I•••••••••	L•• F•••••••• L••	Jan 23, 2025	Jan 23, 2025	0	Bulk transfer	RIA to ibd
U••• B•••••• I••••••••• I•••	W••••••• I•••••••••	Jun 28, 2019	Jun 20, 2019

Relationships

Registered with (8)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jan 23, 2025 to presentfactForm ADV
→ W••••••• I•••••••••Registered adviserregistration: previous registration
Jun 20, 2019 to Jan 23, 2025factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 20, 2014 to Jun 28, 2019factForm ADV
→ C••••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00c59476-29af-3103-2852-11c9bd50527a
First observed: Sep 12, 2007
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.