DFX Intelligence

B••••••• R•••• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

B••••••• R•••• W•••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:87204579-133c-3826-6511-be48efa88148

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 14, 2008 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: Sep 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 31, 2025	n/a	yes	LOUISVILLE, KY\|SAN DIEGO, CA\|Louisville, KY	Current employment
L••• K••• • C••••••	Former SEC adviser	Jul 21, 2009	Oct 13, 2025	no	CINCINNATI, OH\|CINCINNATI, OH\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• K••• • C••••••	L•• F•••••••• L••	Oct 13, 2025	Oct 31, 2025	18	Firm change	RIA to ibd
E•••••••• A•••••••• L••	L••• K••• • C••••••	Jul 13, 2009	Jul 21, 2009

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 31, 2025 to presentfactForm ADV
→ L••• K••• • C••••••Registered adviserregistration: previous registration
Jul 21, 2009 to Oct 13, 2025factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
May 14, 2008 to Jul 13, 2009factForm ADV

Dated events

Occurred
Oct 13, 2025
Advisor changed firm
B••••••• R•••• W••••••• left L••• K••• • C•••••• for L•• F•••••••• L•• (registered 2025-10-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:87204579-133c-3826-6511-be48efa88148
First observed: May 14, 2008
Last observed: Sep 15, 2026 7 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.