DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

S••••• R•••• I••••••

Advisor at L•• F•••••••• L••

OKLAHOMA CITY, OK

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2002 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 8, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Oct 31, 2019	n/a	yes	OKLAHOMA CITY, OK	Current employment
P••••••• C•••••• A•••••••• I•••	Former SEC adviser	Jan 13, 2009	Nov 1, 2019	no	OKLAHOMA CITY, OK

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• C•••••• A•••••••• I•••	L•• F•••••••• L••	Nov 1, 2019	Oct 31, 2019	-1	Firm change	RIA to ibd
S•••••••• F••••••••• I•••	P••••••• C•••••• A•••••••• I•••	May 7, 2007	Jan 13, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
115758:6413:OK:2019-11-01	Nov 1, 2019	Oct 31, 2019	OKLAHOMA CITY, OK	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 31, 2019 to presentfactForm ADV
→ P••••••• C•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 13, 2009 to Nov 1, 2019factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2005 to May 7, 2007factForm ADV
→ S•••••• • C••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 5, 2002
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.