DFX Intelligence

S•••••••• L••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

S•••••••• L••• B•••••

Advisor at L•• F•••••••• L••

DES MOINES, IA | SAINT CHARLES, IA

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Search this name across graphsid dfx:ria:fe5c2c03-68e5-0a24-6fd3-ccff58f7984c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 19, 2010 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•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 29, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Dec 5, 2023	n/a	yes	DES MOINES, IA\|SAINT CHARLES, IA	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Jan 22, 2013	Dec 12, 2023	no	WEST DES MOINES, IA\|WEST DES MOINES, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	L•• F•••••••• L••	Dec 12, 2023	Dec 5, 2023	-7	Firm change	Ibd to ibd
H••••••••• G•••• F•••••••• A•••••••• L••	S••••••••• A•••••• A•••••••• I•••	Jan 18, 2013	Jan 22, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
110518:6413:IA:2023-12-07	Dec 12, 2023	Dec 5, 2023	WEST DES MOINES, IA	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 5, 2023 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 22, 2013 to Dec 12, 2023factForm ADV
→ H••••••••• G•••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 19, 2010 to Jan 18, 2013factForm ADV

Dated events

Occurred
Dec 12, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe5c2c03-68e5-0a24-6fd3-ccff58f7984c
First observed: Jul 19, 2010
Last observed: Sep 14, 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.