DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

R••••• E••• R•••••••

Advisor at L•• F•••••••• L••

CORALVILLE, IA

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Search this name across graphsid dfx:ria:a04dc9f0-aa0f-f5a5-6f2a-5a3c3659b56d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2007 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: Sep 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom 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	Feb 14, 2018	n/a	yes	CORALVILLE, IA	Current employment
S•• I••••••••• I•••	Former SEC adviser	Feb 27, 2007	Feb 15, 2018	no	CORALVILLE, IA\|IOWA CITY, IA\|APPLETON, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• I•••	L•• F•••••••• L••	Feb 15, 2018	Feb 14, 2018	-1	Bulk transfer	Ibd to RIA

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ S•• I••••••••• I•••Registered adviserregistration: previous registration
Feb 27, 2007 to Feb 15, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a04dc9f0-aa0f-f5a5-6f2a-5a3c3659b56d
First observed: Feb 27, 2007
Last observed: Sep 14, 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.