DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

C•••••• L•••••• C•••••••

Advisor at L•• F•••••••• L••

JOHNSON CITY, TN

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Search this name across graphsid dfx:ria:5be27838-16f8-6821-7d8a-5d9dcac81f9e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Sep 12, 2018 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 25, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 3, 2025	n/a	yes	JOHNSON CITY, TN	Current employment
F•••• H•••••• A•••••••• I••	Former SEC adviser	Sep 12, 2018	Oct 2, 2025	no	JOHNSON CITY, TN\|JOHNSON CITY, TN\|MEMPHIS, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• H•••••• A•••••••• I••	L•• F•••••••• L••	Oct 2, 2025	Oct 3, 2025	1	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
17117:6413:TN:2025-09-29	Oct 2, 2025	Oct 3, 2025	MEMPHIS, TN	Firm change

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 3, 2025 to presentfactForm ADV
→ F•••• H•••••• A•••••••• I••Registered adviserregistration: previous registration
Sep 12, 2018 to Oct 2, 2025factForm ADV

Dated events

Occurred
Oct 2, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5be27838-16f8-6821-7d8a-5d9dcac81f9e
First observed: Sep 12, 2018
Last observed: Sep 14, 2026 9 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.