DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

C•••••• H••••••••• H••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:02004038-27e0-9073-2663-f89bb3d00399

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2004 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•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 14, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 21, 2022	n/a	yes	BARTLETT, TN\|MILLINGTON, TN\|COLLIERVILLE, TN\|CORDOVA, TN	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Nov 24, 2004	May 18, 2022	no	MILLINGTON, TN\|MILLINGTON, TN\|Collierville, TN\|Bartlett, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 18, 2022	Sep 21, 2022	126	Bulk transfer	Ibd to RIA
R•••••• J•••• F•••••••• S•••••••• I•••	C••• B•••••••• S•••••••• I•••	May 28, 2004	Nov 24, 2004

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 21, 2022 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 24, 2004 to May 18, 2022factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 31, 2004 to May 28, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02004038-27e0-9073-2663-f89bb3d00399
First observed: Mar 31, 2004
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.