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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

S••••• R•••••• J••••••

Advisor at L•• F•••••••• L••

SALISBURY, NC

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Search this name across graphsid dfx:ria:0b75fdb2-d6a3-37a7-aa16-dc5f962dc989

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 1, 2025	n/a	yes	SALISBURY, NC	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Feb 8, 2019	May 1, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• A•••••••• I•••	L•• F•••••••• L••	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
L•• F•••••••• L••	S•• I••••••••• A•••••••• I•••	Feb 8, 2019

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:123608:NC:2019-02-08	Feb 8, 2019	Feb 8, 2019	SALISBURY, NC	Firm change

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 31, 2001 to Feb 8, 2019factForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 8, 2019 to May 1, 2025factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b75fdb2-d6a3-37a7-aa16-dc5f962dc989
First observed: Dec 31, 2001
Last observed: Sep 14, 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.