DFX Intelligence

L••• A•• Y••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

L••• A•• Y••••

Advisor at L•• F•••••••• L••

NORTHBROOK, IL | DEERFIELD, IL

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:bdc99d32-d556-a33a-26b5-a77644a8ef3d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 17, 2009 to Sep 15, 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: Aug 6, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Nov 13, 2025	n/a	yes	NORTHBROOK, IL\|DEERFIELD, IL	Current employment
B•••• • Y•••• I••••••••• A•••••••• I•••	Former SEC adviser	Feb 17, 2009	Jan 20, 2026	no	NORTHFIELD, IL\|Deerfield, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••• • Y•••• I••••••••• A•••••••• I•••	L•• F•••••••• L••	Jan 20, 2026	Nov 13, 2025	-68	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
149115:6413:IL:2026-01-20	Jan 20, 2026	Nov 13, 2025	DEERFIELD, IL	Firm change after gap

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 13, 2025 to presentfactForm ADV
→ B•••• • Y•••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 17, 2009 to Jan 20, 2026factForm ADV

Dated events

Occurred
Jan 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bdc99d32-d556-a33a-26b5-a77644a8ef3d
First observed: Feb 17, 2009
Last observed: Sep 15, 2026 7 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.