DFX Intelligence

R••••• S•••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

R••••• S•••• L••••••

Advisor at L•• F•••••••• L••

••• Locked

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:c4f000ea-ea11-619f-53ca-ad8997a0cafc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 4, 2016 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: Oct 9, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Oct 31, 2019	n/a	yes	ARDMORE, OK\|MOORE, OK\|ARDMORE, OK\|MOORE, OK\|NORMAN, OK\|MARIETTA, OK\|NORMAN, OK	Current employment
P••••••• C•••••• A•••••••• I•••	Former SEC adviser	Nov 4, 2016	Nov 1, 2019	no	OKLAHOMA CITY, OK\|Ardmore, OK

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• C•••••• A•••••••• I•••	L•• F•••••••• L••	Nov 1, 2019	Oct 31, 2019	-1	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
115758:6413:OK:2019-11-01	Nov 1, 2019	Oct 31, 2019	ARDMORE, OK	Firm change

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 31, 2019 to presentfactForm ADV
→ P••••••• C•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 4, 2016 to Nov 1, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4f000ea-ea11-619f-53ca-ad8997a0cafc
First observed: Nov 4, 2016
Last observed: Sep 15, 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.