DFX Intelligence

S•••••• O••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

S•••••• O••• M••••••

Advisor at L•• F•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7440c8ca-a030-aa7c-4d54-199f6ae0f19a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 12, 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•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 4, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Mar 20, 2019	n/a	yes	PINE BLUFF, AR\|HOT SPRINGS, AR\|HOT SPRINGS, AR\|HOT SPRINGS, AR\|PINE BLUFF, AR\|PINE BLUFF, AR\|PINE BLUFF, AR\|PINE BLUFF, AR\|LITTLE ROCK, AR\|HENSLEY, AR	Current employment
S•••••• F•••• I••••••••• G••••• I•••	Former SEC adviser	Dec 3, 2014	Mar 25, 2019	no

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• F•••• I••••••••• G••••• I•••	L•• F•••••••• L••	Mar 25, 2019	Mar 20, 2019	-5	Firm change	RIA to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	S•••••• F•••• I••••••••• G••••• I•••	Dec 4, 2014	Dec 3, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
47439:6413:AR:2019-03-25	Mar 25, 2019	Mar 20, 2019	PINE BLUFF, AR	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 20, 2019 to presentfactForm ADV
→ S•••••• F•••• I••••••••• G••••• I•••Registered adviserregistration: previous registration
Dec 3, 2014 to Mar 25, 2019factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 15, 2011 to Dec 4, 2014factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7440c8ca-a030-aa7c-4d54-199f6ae0f19a
First observed: Feb 12, 2007
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.