DFX Intelligence

B•••• A••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

B•••• A••••• N•••••

Advisor at L••••• F••••••••• I•••

Farmington, MO

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Search this name across graphsid dfx:ria:c917c0bc-65ce-530e-c64f-5c601e944791

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Feb 1, 2018 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••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• F••••••••• I•••	Bd affiliated wealth	Oct 28, 2025	n/a	yes	Farmington, MO	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Sep 25, 2023	Oct 29, 2025	no	Rolla, MO\|Farmington, MO\|Sainte Genevieve, MO\|Leadington, MO\|Cape Girardeau, MO\|Cape Girardeau, MO\|Neelyville, MO\|Poplar Bluff, MO\|Perryville, MO\|Jackson, MO\|Sikeston, MO\|Potosi, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	L••••• F••••••••• I•••	Oct 29, 2025	Oct 28, 2025	-1	Firm change	Ibd to RIA
E••••• J••••	U••• B•••••• I••••••••• I•••	Oct 9, 2023	Sep 25, 2023

Relationships

Registered with (3)

→ L••••• F••••••••• I•••Registered adviserregistration: current employment
Oct 28, 2025 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 25, 2023 to Oct 29, 2025factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Feb 1, 2018 to Oct 9, 2023factForm ADV

Dated events

Occurred
Oct 29, 2025
Advisor changed firm
B•••• A••••• N••••• left U••• B•••••• I••••••••• I••• for L••••• F••••••••• I••• (registered 2025-10-28)
Form ADVobserved 7 days ago
Occurred
Oct 9, 2023
Advisor changed firm
B•••• A••••• N••••• left E••••• J•••• for U••• B•••••• I••••••••• I••• (registered 2023-09-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c917c0bc-65ce-530e-c64f-5c601e944791
First observed: Feb 1, 2018
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.