DFX Intelligence

N••••• M•••••• Y••: advisor on the ria / wealth management graph | DFX Data Factory

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

N••••• M•••••• Y••

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:0198ab9d-8461-474c-1c2e-8d89a81d4dac

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 23, 2007 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: Jul 29, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	May 15, 2025	n/a	yes	TORRANCE, CA\|SIGNAL HILL, CA\|HAWTHORNE, CA	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Jan 16, 2023	May 15, 2025	no	Torrance, CA\|HAWTHORNE, CA\|SIGNAL HILL, CA\|SAN DIEGO, CA\|Signal Hill, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	L•• F•••••••• L••	May 15, 2025	May 15, 2025	0	Bulk transfer	Ibd to ibd
W••••• F•••••••• S•••••••• L••	C••• F•••••••• S•••••••• L•••	Feb 6, 2023	Jan 16, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 16, 2023	HAWTHORNE, CA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Jan 16, 2023 to May 15, 2025factForm ADV
→ W••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 3, 2010 to Feb 6, 2023factForm ADV
→ E•••••• C•••••• M••••••••• L••

Dated events

Occurred
Feb 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0198ab9d-8461-474c-1c2e-8d89a81d4dac
First observed: Apr 23, 2007
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.