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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

S•••••••• R••• M•••••••

Advisor at L•• F•••••••• L••

FORT MILL, SC

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Search this name across graphsid dfx:ria:38a78768-a91b-8def-1156-9362cc96f0f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 5, 2004 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: Sep 30, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Sep 13, 2023	n/a	yes	FORT MILL, SC\|FORT MILL, SC	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Apr 17, 2017	Jan 10, 2018	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
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	L•• F•••••••• L••	Jan 10, 2018	Sep 13, 2023	2,072	Firm change after gap	Other
L•• F•••••••• L••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Jun 26, 2012

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 13, 2005 to Jun 26, 2012factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Apr 17, 2017 to Jan 10, 2018factForm ADV
→ E•••••• S••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 8, 2005 to Jul 26, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38a78768-a91b-8def-1156-9362cc96f0f4
First observed: Oct 5, 2004
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.