DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

R••••• J• C•••••••

Advisor at L•• F•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 1, 2015 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: Jul 15, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 19, 2022	n/a	yes	DAVIE, FL\|POMPANO BEACH, FL\|HOLLYWOOD, FL\|MARGATE, FL\|COOPER CITY, FL\|PEMBROKE PINES, FL\|LAUDERHILL, FL	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Jun 9, 2021	May 25, 2022	no	WAVERLY, IA\|Davie, FL\|WAVERLY, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 25, 2022	May 19, 2022	-6	Bulk transfer	Ibd to RIA
T••••• A••••••• S•••••••• I•••	C••• B•••••••• S•••••••• I•••	Jun 7, 2021	Jun 9, 2021

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 19, 2022 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 9, 2021 to May 25, 2022factForm ADV
→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Aug 24, 2016 to Jun 7, 2021factForm ADV
→ S••••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 1, 2015
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.