DFX Intelligence

T••••• S•••• C••••: 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)19 years in industry

T••••• S•••• C••••

Advisor at L•••••• I•••••••••

BOWLING GREEN, KY | Crystal Lake, IL

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:f21a636a-c0b8-5fe5-0ea9-98f6a01da9b4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 1, 2007 to Sep 14, 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 public••• Locked
Industry start: Jun 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•••••• I•••••••••	Independent wealth	Jun 9, 2017	n/a	yes	BOWLING GREEN, KY\|Crystal Lake, IL	Current employment
L••••• A•••••••• L••	Former SEC adviser	Nov 1, 2010	Oct 4, 2019	no	BOWLING GREEN, KY\|PALM BEACH GARDENS, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••• A•••••••• L••	L•••••• I•••••••••	Oct 4, 2019	Jun 9, 2017	-847	Bulk transfer	Other
V•••• F•••••••• A•••••••• I•••	L••••• A•••••••• L••	Oct 25, 2010	Nov 1, 2010

Relationships

Registered with (3)

→ L•••••• I•••••••••Registered adviserregistration: current employment
Jun 9, 2017 to presentfactForm ADV
→ L••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 1, 2010 to Oct 4, 2019factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 1, 2007 to Oct 25, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f21a636a-c0b8-5fe5-0ea9-98f6a01da9b4
First observed: Jun 1, 2007
Last observed: Sep 14, 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.