DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

R•••••• W••• W•••••••

Advisor at L•• F•••••••• L••

Charlotte, NC | FORT MILL, SC

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:0a7e2cef-7423-d665-d32a-76ade40692bf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 31, 2009 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: Jul 13, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 27, 2023	n/a	yes	FORT MILL, SC\|Charlotte, NC	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	Sep 16, 2022	Aug 23, 2023	no	SYRACUSE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	L•• F•••••••• L••	Aug 23, 2023	Oct 27, 2023	65	Firm change	Ibd to ibd
L•• F•••••••• L••	C•••••• G•••• • C• I••	Jul 19, 2022	Sep 16, 2022

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 2, 2011 to Jul 19, 2022factForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Sep 16, 2022 to Aug 23, 2023factForm ADV
→ S•••••• I••••••••• G••••• L••Registered adviserregistration: previous registration
Mar 31, 2009 to Mar 18, 2010factForm ADV

Dated events

Occurred
Aug 23, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 19, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a7e2cef-7423-d665-d32a-76ade40692bf
First observed: Mar 31, 2009
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.