DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

S••••• R••• E••••••

Advisor at L•• F•••••••• L••

HICKORY, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 14, 2004 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: May 9, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 17, 2019	n/a	yes	HICKORY, NC	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Aug 26, 2013	Sep 19, 2019	no	GRANITE FALLS, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	L•• F•••••••• L••	Sep 19, 2019	Sep 17, 2019	-2	Firm change	Ibd to ibd
W•• A•••••••• L•	S•••••••• F••••••••• I•••	Aug 23, 2013	Aug 26, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
133763:6413:NC:2019-09-19	Sep 19, 2019	Sep 17, 2019	GRANITE FALLS, NC	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 17, 2019 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Aug 26, 2013 to Sep 19, 2019factForm ADV
→ W•• A•••••••• L•Registered adviserregistration: previous registration
May 13, 2008 to Aug 23, 2013factForm ADV
→ C••••••• I••••••••• A•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 14, 2004
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.