DFX Intelligence

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

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

C••••••••• J•••• S•••••••

Advisor at L•• F•••••••• L••

ELLENDALE, ND | FARGO, ND

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:1cc70f20-78ee-3b3a-d704-7d571153f440

Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 3, 2006 to Sep 22, 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: Aug 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jan 1, 2026	n/a	yes	ELLENDALE, ND\|FARGO, ND	Current employment
I•• G•••• W••••• M••••••••• L••	Former SEC adviser	Dec 13, 2021	Sep 23, 2024	no	DENVER, CO\|Fargo, ND

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•• G•••• W••••• M••••••••• L••	L•• F•••••••• L••	Sep 23, 2024	Jan 1, 2026	465	Firm change after gap	RIA to ibd
I••••••••• C•••••• O• A••••••• I•••	I•• G•••• W••••• M••••••••• L••	Dec 6, 2017	Dec 13, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
16443:311419:WI:2017-12-05	Dec 6, 2017	Dec 13, 2021	APPLETON, WI	Firm change after gap
110518:16443:ND:2015-12-01	Dec 1, 2015	Nov 30, 2015	FARGO, ND	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ I•• G•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 13, 2021 to Sep 23, 2024factForm ADV
→ I••••••••• C•••••• O• A••••••• I•••Registered adviserregistration: previous registration
Nov 30, 2015 to Dec 6, 2017factForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 23, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Show 1 bookkeeping events

Occurred
Sep 21, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1cc70f20-78ee-3b3a-d704-7d571153f440
First observed: Oct 3, 2006
Last observed: Sep 22, 2026 22 h 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.