DFX Intelligence

R•••••• S•••• 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

R•••••• S•••• H•••

Advisor at L•• F•••••••• L••

LARGO, FL

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:4416eff9-f339-c3bb-495f-d1bad80ac529

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 25, 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 public••• Locked
Industry start: Jul 13, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 23, 2024	n/a	yes	LARGO, FL	Current employment
U••••••••• W••••• M••••••••• L••	Independent wealth	Oct 27, 2014	Dec 7, 2021	no	KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••••••••• W••••• M••••••••• L••	L•• F•••••••• L••	Dec 7, 2021	Feb 23, 2024	808	Firm change after gap	RIA to ibd
S••••••••• A•••••• A•••••••• I•••	U••••••••• W••••• M••••••••• L••	Oct 28, 2014	Jan 24, 2012

Relationships

Registered with (8)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 23, 2024 to presentfactForm ADV
→ U••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 27, 2014 to Dec 7, 2021factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 1, 2011 to Oct 28, 2014factForm ADV
→ N••• F•••••••• G••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4416eff9-f339-c3bb-495f-d1bad80ac529
First observed: Mar 25, 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.