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

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

R•••• J•••• L•••••

Advisor at L••••• Y•••••• M••••••••• C•

INDEPENDENCE, KY | GAYS MILLS, WI

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Search this name across graphsid dfx:ria:eeb4a05b-8afc-cb77-ddb2-be38a9c99edf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Sep 12, 1983 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••••• Y•••••• M••••••••• C•
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 12, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Current registrations

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• Y•••••• M••••••••• C•	Former SEC adviser	May 10, 2012	n/a	yes	GAYS MILLS, WI\|INDEPENDENCE, KY	Current employment

Relationships

Registered with (1)

→ L••••• Y•••••• M••••••••• C•Registered adviserregistration: current employment
May 10, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eeb4a05b-8afc-cb77-ddb2-be38a9c99edf
First observed: Sep 12, 1983
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.