DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

R••• K•••••

Advisor at L•• F•••••••• L••

NORTHBROOK, IL | TACOMA, WA

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Search this name across graphsid dfx:ria:4b16f7a8-54bc-17b8-6920-97e023b49ebc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2015 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: Dec 18, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 16, 2020	n/a	yes	NORTHBROOK, IL\|TACOMA, WA	Current employment
T•••• I••••••••• M•••••••••	Former SEC adviser	Sep 2, 2020	Nov 5, 2020	no	ISSAQUAH, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• I••••••••• M•••••••••	L•• F•••••••• L••	Nov 5, 2020	Nov 16, 2020	11	Firm change	RIA to ibd
M•• I•••••••• S•••••••• L••	T•••• I••••••••• M•••••••••	Aug 25, 2020	Sep 2, 2020

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 16, 2020 to presentfactForm ADV
→ T•••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Sep 2, 2020 to Nov 5, 2020factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 13, 2018 to Aug 25, 2020factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b16f7a8-54bc-17b8-6920-97e023b49ebc
First observed: Dec 21, 2015
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.