DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

L••• J•••••• R••••

Advisor at L•• F•••••••• L••

LITTLETON, CO

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 1, 1999 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: Sep 5, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 4derivedfrom 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	Mar 21, 2022	n/a	yes	LITTLETON, CO	Current employment
F•••• F•••••••• E••••• C•••••••••	Former SEC adviser	Apr 29, 2009	Apr 4, 2022	no	SCOTTSDALE, AZ\|GREENWOOD VILLAGE, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• F•••••••• E••••• C•••••••••	L•• F•••••••• L••	Apr 4, 2022	Mar 21, 2022	-14	Firm change	Ibd to RIA
U•• F•••••••• S••••••• I•••	F•••• F•••••••• E••••• C•••••••••	May 13, 2009	Apr 29, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
16507:6413:CO:2022-04-04	Apr 4, 2022	Mar 21, 2022	GREENWOOD VILLAGE, CO	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 21, 2022 to presentfactForm ADV
→ F•••• F•••••••• E••••• C•••••••••Registered adviserregistration: previous registration
Apr 29, 2009 to Apr 4, 2022factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Aug 12, 2006 to May 13, 2009factForm ADV
→ P•••• S•••••• • C••

Dated events

Order

Occurred
4 Apr 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 1, 1999
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.