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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

L•••• R•••• M••••

Advisor at L•• F•••••••• L••

MADISON, WI | Sumner, IA

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Search this name across graphsid dfx:ria:4fcecec6-848d-7605-6cd2-be11c7877358

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Oct 30, 2020 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jan 16, 2025	n/a	yes	Sumner, IA\|MADISON, WI	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Oct 30, 2020	Mar 30, 2023	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
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	Mar 30, 2023	Jan 16, 2025	658	Firm change after gap	Ibd to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
13941:6413:IA:2023-03-30	Mar 30, 2023	Jan 16, 2025	PARKERSBURG, IA	Firm change after gap

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jan 16, 2025 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 30, 2020 to Mar 30, 2023factForm ADV

Dated events

Occurred
Mar 30, 2023
Advisor changed firm
L•••• R•••• M•••• left C••• B•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2025-01-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4fcecec6-848d-7605-6cd2-be11c7877358
First observed: Oct 30, 2020
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.