DFX Intelligence

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

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

S••••• Q• A••••••

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:84008756-3679-cf82-027b-0eebfef81d54

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 19, 2003 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: Mar 25, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom 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 7, 2024	n/a	yes	OLATHE, KS\|Olathe, KS\|SAN DIEGO, CA	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Jul 24, 2017	Mar 14, 2024	no	OLATHE, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	L•• F•••••••• L••	Mar 14, 2024	Mar 7, 2024	-7	Firm change	Ibd to ibd
A••••••••• L••	S••••••••• A•••••• A•••••••• I•••	Dec 13, 2017	Jul 24, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
110518:6413:KS:2024-03-13	Mar 14, 2024	Mar 7, 2024	OLATHE, KS	Firm change
29604:147416:KS:2017-07-19	Jul 19, 2017	Sep 16, 2008	GARDNER, KS	Firm change after gap

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 7, 2024 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 24, 2017 to Mar 14, 2024factForm ADV
→ A••••••••• L••Registered adviserregistration: previous registration
Sep 16, 2008 to Dec 13, 2017factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Mar 14, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84008756-3679-cf82-027b-0eebfef81d54
First observed: Feb 19, 2003
Last observed: Sep 15, 2026 8 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.