DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

M••• W••••• C•••••••••

Advisor at L•• F•••••••• L••

OAK BROOK, IL

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Search this name across graphsid dfx:ria:72a97fa3-c497-0785-d65f-f40440dfc5c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 20, 2015 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: Oct 19, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jun 18, 2025	n/a	yes	OAK BROOK, IL	Current employment
F•• W•••••	Former SEC adviser	Mar 20, 2024	Jun 4, 2025	no	CHICAGO, IL\|LAKE BARRINGTON, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•• W•••••	L•• F•••••••• L••	Jun 4, 2025	Jun 18, 2025	14	Firm change	RIA to ibd
F•••••••• A••••••• L••	F•• W•••••	Apr 10, 2024	Mar 20, 2024

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 18, 2025 to presentfactForm ADV
→ F•• W•••••Registered adviserregistration: previous registration
Mar 20, 2024 to Jun 4, 2025factForm ADV
→ F•••••••• A••••••• L••Registered adviserregistration: previous registration
Feb 16, 2022 to Apr 10, 2024factForm ADV
→ N••••• A•••• M••••••••• L••

Dated events

Occurred
Jun 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 10, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72a97fa3-c497-0785-d65f-f40440dfc5c9
First observed: Oct 20, 2015
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.