DFX Intelligence

N••••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

N••••••• G•••••

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:a0562abf-edc7-86fc-f3ca-3cf565071e35

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 27, 2015 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: Jul 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 4, 2025	n/a	yes	CINCINNATI, OH\|Cincinnati, OH\|SAN DIEGO, CA	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Jul 24, 2023	Jun 9, 2025	no	Cincinnati, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	L•• F•••••••• L••	Jun 9, 2025	Jun 4, 2025	-5	Firm change	Ibd to ibd
H•••• W••••• M•••••••••	A•••••• A••••••• S•••••••	Jul 19, 2023	Jul 24, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
104556:6413:OH:2025-06-09	Jun 9, 2025	Jun 4, 2025	CINCINNATI, OH	Firm change
40794:104556:OH:2023-07-19	Jul 19, 2023	Jul 24, 2023	CINCINNATI, OH	Firm change

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 4, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jul 24, 2023 to Jun 9, 2025factForm ADV
→ H•••• W••••• M•••••••••Registered adviserregistration: previous registration
Jun 15, 2020 to Jul 19, 2023factForm ADV
→ M•• C•••••• M••••••••• L••

Dated events

Occurred
Jun 9, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 19, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0562abf-edc7-86fc-f3ca-3cf565071e35
First observed: Jul 27, 2015
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.