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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

S•••••• E••••• R••••

Advisor at L•• F•••••••• L••

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:1531b674-8029-2ac8-0f9d-a4c2b2153f8c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 29, 2003 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 4, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Feb 1, 2024	n/a	yes	CHARLOTTE, NC	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Sep 1, 2023	Jan 31, 2024	no	CHARLOTTE, NC

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
O•••• W•••••• I•••	L•• F•••••••• L••	Jan 31, 2024	Feb 1, 2024	1	Firm change	Ibd to ibd
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Sep 1, 2023

Team moves

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

Team	Left	Joined	From	Kind
23131:6413:NC:2024-01-31	Jan 31, 2024	Feb 1, 2024	CHARLOTTE, NC	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 1, 2024 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Sep 1, 2023 to Jan 31, 2024factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2005 to Sep 1, 2023factForm ADV
→ S••••••••• S••••••••• I•••Registered adviser

Dated events

Occurred
Jan 31, 2024
Advisor changed firm
S•••••• E••••• R•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-02-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1531b674-8029-2ac8-0f9d-a4c2b2153f8c
First observed: Jul 29, 2003
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.