DFX Intelligence

T••••• M•••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

T••••• M•••••• S••••

Advisor at L•• F•••••••• L••

MOREHEAD, KY | LOUISVILLE, KY

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Search this name across graphsid dfx:ria:a946603a-bb49-2c79-f688-b78a1f7eec5f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 13, 2003 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 13, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 28, 2018	n/a	yes	LOUISVILLE, KY\|MOREHEAD, KY	Current employment
W•••••• • R•••	Former SEC adviser	Oct 12, 2015	Oct 4, 2018	no	LOUISVILLE, KY\|CHARLEROI, PA\|WEST CHESTER, OH\|LOUISVILLE, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • R•••	L•• F•••••••• L••	Oct 4, 2018	Sep 28, 2018	-6	Firm change	Ibd to RIA
P•••••• C••••• S•••••••• L••	W•••••• • R•••	Oct 13, 2015	Oct 12, 2015

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 28, 2018 to presentfactForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Oct 12, 2015 to Oct 4, 2018factForm ADV
→ P•••••• C••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 22, 2015 to Oct 13, 2015factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a946603a-bb49-2c79-f688-b78a1f7eec5f
First observed: May 13, 2003
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.