DFX Intelligence

C••• M•••••• H•••: 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)20 years in industry

C••• M•••••• H•••

Advisor at L•• F•••••••• L••

BROOMFIELD, CO | DAVENPORT, IA

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:2479f85b-0e9a-65f5-2392-0ec21852b72a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 12, 2006 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: May 11, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 10, 2019	n/a	yes	DAVENPORT, IA\|BROOMFIELD, CO	Current employment
U•••••• W••••• M••••••••• L••	Former SEC adviser	Apr 28, 2009	Jun 25, 2019	no	BETTENDORF, IA\|SCOTTSDALE, AZ\|Davenport, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••••• W••••• M••••••••• L••	L•• F•••••••• L••	Jun 25, 2019	Jun 10, 2019	-15	Firm change	RIA to RIA
G•••••••• F••••••••• I••	U•••••• W••••• M••••••••• L••	Mar 4, 2009	Apr 28, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
133202:6413:IA:2019-06-25	Jun 25, 2019	Jun 10, 2019	DAVENPORT, IA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 10, 2019 to presentfactForm ADV
→ U•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 28, 2009 to Jun 25, 2019factForm ADV
→ G•••••••• F••••••••• I••Registered adviserregistration: previous registration
Sep 17, 2008 to Mar 4, 2009factForm ADV
→ T••••••• I••••••••• M••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2479f85b-0e9a-65f5-2392-0ec21852b72a
First observed: May 12, 2006
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.