DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

T•• L• K•••••••••

Advisor at L••••• F•••••••• G••••• L••

WATERLOO, IL | SAINT LOUIS, MO

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 17, 2007 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•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• F•••••••• G••••• L••	Bd affiliated wealth	Jul 22, 2021	n/a	yes	SAINT LOUIS, MO\|WATERLOO, IL	Current employment
E••••• J••••	National bd RIA	May 17, 2007	Jun 10, 2021	no	WATERLOO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	L••••• F•••••••• G••••• L••	Jun 10, 2021	Jul 22, 2021	42	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ L••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Jul 22, 2021 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
May 17, 2007 to Jun 10, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 17, 2007
Last observed: Sep 15, 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.