DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

S••••• S•••• L•••••

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

SAINT LOUIS, MO | HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jan 17, 2020 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•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• F•••••••• G••••• L••	Bd affiliated wealth	Aug 31, 2026	n/a	yes	HOUSTON, TX\|SAINT LOUIS, MO	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 31, 2022	Oct 28, 2022	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F••••••••	L•• F•••••••• L••	Jul 1, 2026	May 31, 2022	-1,492	Firm change after gap	RIA to RIA
L•• F•••••••• L••	L••••• F•••••••• G••••• L••	Oct 28, 2022	Aug 31, 2026

Relationships

Registered with (3)

→ L••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Aug 31, 2026 to presentfactForm ADV
→ I••••• F••••••••Registered adviserregistration: previous registration
Jan 17, 2020 to Jul 1, 2026factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 31, 2022 to Oct 28, 2022factForm ADV

Dated events

Occurred
Jul 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 17, 2020
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.