DFX Intelligence

S•••• A••••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

S•••• A••••• M•••••••

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 24, 2026, 2:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 1, 1999 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 14, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 16derivedfrom 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	Jan 28, 2010	n/a	yes	GLEN ELLYN, IL\|WHEATON, IL\|HARTSELLE, AL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Feb 1, 2008	Nov 10, 2009	no	WHEATON, IL\|WHEATON, IL\|WHEATON, IL\|GLEN ELLYN, IL\|FORT MILL, SC\|GLEN ELLYN, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••• S••• I••••••••• M••••••••• C•••••••••	L•• F•••••••• L••	Feb 11, 2008	Feb 1, 2008	-10	Firm change	Other
B••• O•• S••••••••• C•••••••••	N•••• S••• I••••••••• M••••••••• C•••••••••	Mar 23, 2005	Mar 22, 2005

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 1, 2008 to Nov 10, 2009factForm ADV
→ N•••• S••• I••••••••• M••••••••• C•••••••••Registered adviserregistration: previous registration
Mar 22, 2005 to Feb 11, 2008factForm ADV
→ B••• O•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Feb 1, 1999 to Mar 23, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 1, 1999
Last observed: Sep 15, 2026 9 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.