DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

S•••• C•••••• H•••••

Advisor at L••••• F•••••••• G••••• L••

SAINT LOUIS, MO | Santa Rosa, CA

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 23, 2007 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•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• F•••••••• G••••• L••	Bd affiliated wealth	Feb 2, 2024	n/a	yes	SAINT LOUIS, MO\|Santa Rosa, CA	Current employment
I••••• F••••••••	Independent wealth	Jul 6, 2020	May 16, 2024	no	HOUSTON, TX\|Santa Rosa, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F••••••••	L••••• F•••••••• G••••• L••	May 16, 2024	Feb 2, 2024	-104	Firm change after gap	Ibd to ibd
G••••• S•••• W••••• M••••••••• L••	I••••• F••••••••	Jul 31, 2020	Jul 6, 2020

Relationships

Registered with (4)

→ L••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Feb 2, 2024 to presentfactForm ADV
→ I••••• F••••••••Registered adviserregistration: previous registration
Jul 6, 2020 to May 16, 2024factForm ADV
→ G••••• S•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 15, 2017 to Jul 31, 2020factForm ADV
→ L•• F•••••••• L••

Dated events

Order

Occurred
16 May 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 23, 2007
Last observed: Sep 15, 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.