DFX Intelligence

F••••••• D• A•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

F••••••• D• A•••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:3b994e08-42b0-f33f-71ca-c579b69315ae

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Oct 13, 2017 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: Feb 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 8, 2026	n/a	yes	Chicago, IL\|SAN DIEGO, CA\|Chicago, IL\|CHICAGO, IL\|CHICAGO, IL	Current employment
F•••• T•••• S••••••••• I•••	Bd affiliated wealth	May 3, 2024	Oct 27, 2025	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• T•••• S••••••••• I•••	L•• F•••••••• L••	Oct 27, 2025	Jun 8, 2026	224	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F•••• T•••• S••••••••• I•••	Apr 30, 2024	May 3, 2024

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 8, 2026 to presentfactForm ADV
→ F•••• T•••• S••••••••• I•••Registered adviserregistration: previous registration
May 3, 2024 to Oct 27, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 13, 2017 to Apr 30, 2024factForm ADV

Dated events

Occurred
Oct 27, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 30, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b994e08-42b0-f33f-71ca-c579b69315ae
First observed: Oct 13, 2017
Last observed: Sep 15, 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.