DFX Intelligence

C••• H••••••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

C••• H••••••• C••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:cad94d42-310d-4baf-a8b2-134732e99896

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 3, 2001 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: Dec 5, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom 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	Mar 22, 2019	n/a	yes	LITTLE ROCK, AR\|STAR CITY, AR\|HAMBURG, AR\|MONTICELLO, AR\|LAKE VILLAGE, AR\|EL DORADO, AR	Current employment
M••••••••• C•••••• M••••••••• I•••	Former SEC adviser	Dec 17, 2014	Sep 2, 2015	no	LITTLE ROCK, AR\|LITTLE ROCK, AR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• F•••• I••••••••• G••••• I•••	M••••••••• C•••••• M••••••••• I•••	Mar 25, 2019	Dec 17, 2014	-1,559	Firm change after gap	Other
M••••••••• C•••••• M••••••••• I•••	L•• F•••••••• L••	Sep 2, 2015	Mar 22, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
47439:137713:AR:2019-03-25	Mar 25, 2019	Dec 17, 2014	LITTLE ROCK, AR	Firm change after gap
137713:6413:AR:2015-09-02	Sep 2, 2015	Mar 22, 2019	LITTLE ROCK, AR	Firm change after gap

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 22, 2019 to presentfactForm ADV
→ S•••••• F•••• I••••••••• G••••• I•••Registered adviserregistration: previous registration
May 3, 2001 to Mar 25, 2019factForm ADV
→ M••••••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Dec 17, 2014 to Sep 2, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cad94d42-310d-4baf-a8b2-134732e99896
First observed: May 3, 2001
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.