DFX Intelligence

N••••••• E••••• H•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

N••••••• E••••• H•••

Advisor at L•• F•••••••• L••

APPLETON, WI | FORT MILL, SC

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Search this name across graphsid dfx:ria:678c3b30-ac44-7f99-d903-69a00b38916e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Oct 1, 2009 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: Feb 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 24, 2024	n/a	yes	APPLETON, WI\|FORT MILL, SC	Current employment
I•• G•••• W••••• M••••••••• L••	Former SEC adviser	Nov 30, 2021	Sep 23, 2024	no	DENVER, CO\|Appleton, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•• G•••• W••••• M••••••••• L••	L•• F•••••••• L••	Sep 23, 2024	Jun 24, 2024	-91	Firm change after gap	RIA to ibd
H••• F••••••••• L••	I•• G•••• W••••• M••••••••• L••	Dec 31, 2020	Nov 30, 2021

Relationships

Registered with (9)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 9, 2018 to Jun 15, 2020factForm ADV
→ I•• G•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 30, 2021 to Sep 23, 2024factForm ADV
→ H••• F••••••••• L••Registered adviserregistration: previous registration
Jul 9, 2020 to Dec 31, 2020factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviser

Dated events

Occurred
Sep 23, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:678c3b30-ac44-7f99-d903-69a00b38916e
First observed: Oct 1, 2009
Last observed: Sep 15, 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.