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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

S•••• E• M••••

Advisor at L•• F•••••••• L••

NAPERVILLE, IL | DOWNERS GROVE, IL

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Search this name across graphsid dfx:ria:5b11a7f1-bcdd-2a87-c1fd-f674d867cab5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 17, 2006 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: Apr 13, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 20derivedfrom 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	Dec 14, 2005	n/a	yes	DOWNERS GROVE, IL\|NAPERVILLE, IL	Current employment
H••••• F•••••••• A•••••••• I•••	n/a	Mar 17, 2006	Apr 2, 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
H••••• F•••••••• A•••••••• I•••	n/a	Apr 2, 2018	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 14, 2005 to presentfactForm ADV
→ H••••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 17, 2006 to Apr 2, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b11a7f1-bcdd-2a87-c1fd-f674d867cab5
First observed: Mar 17, 2006
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.