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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

R•••••• A•• N••••••••

Advisor at L•••••• I•••••••••

INDEPENDENCE, OH | Crystal Lake, IL

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Search this name across graphsid dfx:ria:ef823d10-0ab4-11ac-12aa-b28664e6f21a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 19, 2006 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•••••• I•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms

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•••••• I•••••••••	Independent wealth	Jan 26, 2018	n/a	yes	Crystal Lake, IL\|INDEPENDENCE, OH	Current employment
L••••• A•••••••• L••	Former SEC adviser	Jan 26, 2018	Oct 4, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
L••••• A•••••••• L••	L•••••• I•••••••••	Oct 4, 2019	Jan 26, 2018	-616	Bulk transfer	Other
M•• I•••••••• S•••••••• L••	L••••• A•••••••• L••	Dec 20, 2017

Relationships

Registered with (4)

→ L•••••• I•••••••••Registered adviserregistration: current employment
Jan 26, 2018 to presentfactForm ADV
→ L••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 26, 2018 to Oct 4, 2019factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Dec 20, 2017factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef823d10-0ab4-11ac-12aa-b28664e6f21a
First observed: Apr 19, 2006
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.