DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

C••• A••••• H•••••

Advisor at L•• F•••••••• L••

DUBUQUE, IA | GALENA, IL

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Search this name across graphsid dfx:ria:5d781ee2-827d-c7d9-fae4-07d179856717

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 13, 2017 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: Apr 18, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Aug 31, 2022	n/a	yes	GALENA, IL\|DUBUQUE, IA	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jun 9, 2021	Sep 13, 2022	no	DUBUQUE, IA\|MAPLE GROVE, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	L•• F•••••••• L••	Sep 13, 2022	Aug 31, 2022	-13	Firm change	Ibd to RIA
V••• F•••••••• A•••••••• I•••	C••••• A•••••• N••••••• L••	Jun 9, 2021	Jun 9, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
2882:13572:MN:2021-06-09	Jun 9, 2021	Jun 9, 2021	MAPLE GROVE, MN	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 31, 2022 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jun 9, 2021 to Sep 13, 2022factForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 13, 2017 to Jun 9, 2021factForm ADV

Dated events

Occurred
Sep 13, 2022
A•••••• firm change
C••• A••••• H••••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2022-08-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d781ee2-827d-c7d9-fae4-07d179856717
First observed: Dec 13, 2017
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.