DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

S••••••• N••••• G••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:c4b2abfc-d64d-82a7-f5c0-2412582bb12a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 6, 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 5, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 8derivedfrom 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	Feb 14, 2018	n/a	yes	MUKWONAGO, WI\|JANESVILLE, WI\|FORT ATKINSON, WI\|JANESVILLE, WI\|BELVIDERE, IL	Current employment
I••••• F•••••••• C•••••••••	Former SEC adviser	Mar 9, 2010	Feb 20, 2018	no	JANESVILLE, WI\|MUKWONAGO, WI\|JANESVILLE, WI\|JANESVILLE, WI\|FORT ATKINSON, WI\|APPLETON, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F•••••••• C•••••••••	L•• F•••••••• L••	Feb 20, 2018	Feb 14, 2018	-6	Bulk transfer	Other
W•••••• • R•••	I••••• F•••••••• C•••••••••	Sep 22, 2009	Mar 9, 2010

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserregistration: previous registration
Mar 9, 2010 to Feb 20, 2018factForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Aug 6, 2009 to Sep 22, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4b2abfc-d64d-82a7-f5c0-2412582bb12a
First observed: Aug 6, 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.