DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

F•••••••• E•••• W••••

Advisor at L•• F•••••••• L••

CHARLOTTE, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 31, 2001 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: May 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Oct 7, 2022	n/a	yes	CHARLOTTE, NC	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Feb 13, 2013	Oct 18, 2022	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	L•• F•••••••• L••	Oct 18, 2022	Oct 7, 2022	-11	Firm change	Ibd to RIA
M••••• K••••• • C••••••• L••	R•••••• J•••• • A••••••••• I•••	Feb 13, 2013	Feb 13, 2013

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 7, 2022 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Feb 13, 2013 to Oct 18, 2022factForm ADV
→ M••••• K••••• • C••••••• L••Registered adviserregistration: previous registration
May 11, 2007 to Feb 13, 2013factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Order

Occurred
18 Oct 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 31, 2001
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.