DFX Intelligence

M•••••• S••••• L••: 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 / WealthAdvisordual registered (broker-dealer)27 years in industry

M•••••• S••••• L••

Advisor at L•• F•••••••• L••

GREENVILLE, SC

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:c617bc73-a670-7287-f1e4-e20b37233cd0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 5, 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: Sep 10, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 10, 2025	n/a	yes	GREENVILLE, SC	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 29, 2009	Sep 19, 2025	no	PALM BEACH GARDENS, FL\|GREENVILLE, SC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	L•• F•••••••• L••	Sep 19, 2025	Sep 10, 2025	-9	Firm change	Wirehouse to ibd
J••• M••••• S••••••••• L••	U•• F•••••••• S••••••• I•••	Jul 9, 2009	Jun 29, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:6413:SC:2025-09-17	Sep 19, 2025	Sep 10, 2025	GREENVILLE, SC	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 10, 2025 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jun 29, 2009 to Sep 19, 2025factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2008 to Jul 9, 2009factForm ADV
→ J••• M••••• S••••••••• I•••Registered adviser

Dated events

Occurred
Sep 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c617bc73-a670-7287-f1e4-e20b37233cd0
First observed: Apr 5, 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.