DFX Intelligence

R••• P•••••• E•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

R••• P•••••• E•••••

Advisor at L•• F•••••••• L••

TOMAH, WI

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Search this name across graphsid dfx:ria:850dcc24-dde1-b6a5-fad9-0a959e6b9da3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 31, 2005 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 1, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Aug 20, 2018	n/a	yes	TOMAH, WI	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Oct 31, 2005	Aug 24, 2018	no	PHOENIX, AZ\|TOMAH, WI\|LA CROSSE, WI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	L•• F•••••••• L••	Aug 24, 2018	Aug 20, 2018	-4	Firm change	Ibd to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
133763:6413:WI:2018-08-24	Aug 24, 2018	Aug 20, 2018	LA CROSSE, WI	Firm change

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 20, 2018 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2005 to Aug 24, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:850dcc24-dde1-b6a5-fad9-0a959e6b9da3
First observed: Oct 31, 2005
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.