DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

R•••••• C•••••• B•••••

Advisor at L•• F•••••••• L••

PARK CITY, UT

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Search this name across graphsid dfx:ria:a31f8e94-0cc3-0c53-53bb-67824a642fe6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: Dec 29, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom 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	Jun 8, 2026	n/a	yes	PARK CITY, UT	Current employment
W•••• F•••• A•••••••	Wirehouse	Aug 9, 2002	Jun 16, 2026	no	PARK CITY, UT\|PALM DESERT, CA\|PARK CITY, UT\|INDIAN W••••, CA\|PARK CITY, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	L•• F•••••••• L••	Jun 16, 2026	Jun 8, 2026	-8	Firm change	Wirehouse to ibd
P••••••••• E••••• G••••• L••	W•••• F•••• A•••••••	Aug 28, 2002	Aug 9, 2002

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 8, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Aug 9, 2002 to Jun 16, 2026factForm ADV
→ P••••••••• E••••• G••••• L••Registered adviserregistration: previous registration
Jul 8, 1997 to Aug 28, 2002factForm ADV

Dated events

Occurred
Jun 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a31f8e94-0cc3-0c53-53bb-67824a642fe6
First observed: Jul 8, 1997
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.