DFX Intelligence

D••••• A••••• A••••••: 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)11 years in industry

D••••• A••••• A••••••

Advisor at L•• F•••••••• L••

••• Locked

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:ef3ab257-9aa5-5cc9-cff5-f04ca5267c35

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 5, 2020 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: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Aug 16, 2023	n/a	yes	2609 EAST BROADWAY SUITE 101, MO\|HANNIBAL, MO\|COLUMBIA, MO\|MEXICO, MO\|MOBERLY, MO\|CALIFORNIA, MO\|TIPTON, MO\|MOBERLY, MO	Current employment
C••••••• B•••••••• S•••••••• I••	Former SEC adviser	May 9, 2023	Aug 16, 2023	no

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• B•••••••• S•••••••• I••	L•• F•••••••• L••	Aug 16, 2023	Aug 16, 2023	0	Bulk transfer	RIA to ibd
O•••• I••••••••• I•••	C••••••• B•••••••• S•••••••• I••	Apr 28, 2023	May 9, 2023

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 16, 2023 to presentfactForm ADV
→ C••••••• B•••••••• S•••••••• I••Registered adviserregistration: previous registration
May 9, 2023 to Aug 16, 2023factForm ADV
→ O•••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 8, 2021 to Apr 28, 2023factForm ADV
→ E••••• J••••

Dated events

Occurred
Apr 28, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef3ab257-9aa5-5cc9-cff5-f04ca5267c35
First observed: Feb 5, 2020
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.