DFX Intelligence

W• C••• C•••••: 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

W• C••• C•••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:85e739af-a71b-9a23-44b0-45a3c4f6dce3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 23, 1999 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: Oct 29, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Mar 20, 2019	n/a	yes	MEMPHIS, TN\|ROGERS, AR\|LITTLE ROCK, AR\|SPRINGFIELD, MO\|NASHVILLE, TN\|DALLAS, TX\|FRANKLIN, TN	Current employment
V•••• F•••••••• A•••••••• I•••	Bd affiliated wealth	Dec 11, 2003	Feb 20, 2004	no	LITTLE ROCK, AR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• F•••• I••••••••• G••••• I•••	V•••• F•••••••• A•••••••• I•••	Mar 25, 2019	Dec 11, 2003	-5,583	Firm change after gap	Other
V•••• F•••••••• A•••••••• I•••	L•• F•••••••• L••	Feb 20, 2004	Mar 20, 2019

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 20, 2019 to presentfactForm ADV
→ S•••••• F•••• I••••••••• G••••• I•••Registered adviserregistration: previous registration
Sep 29, 2003 to Mar 25, 2019factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 11, 2003 to Feb 20, 2004factForm ADV
→ T••••••••• F•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85e739af-a71b-9a23-44b0-45a3c4f6dce3
First observed: Mar 23, 1999
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.