DFX Intelligence

Data Factory

S•••• K•••••• L••••••: 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)11 years in industry

S•••• K•••••• L••••••

Advisor at L•• F•••••••• L••

Wenatchee, WA | WENATCHEE, WA | SAN DIEGO, CA

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:039a447b-0115-5fa4-c23f-0574600b65b0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 31, 2015 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom 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•• F•••••••• L••	Bd affiliated wealth	Apr 17, 2026	n/a	yes	WENATCHEE, WA\|SAN DIEGO, CA\|Wenatchee, WA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 6, 2018	Sep 27, 2022	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
I••••••••• P••••••••• I•••	L•• F•••••••• L••	Jul 10, 2018	Jul 6, 2018	-4	Firm change	Ibd to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	I••••••••• P••••••••• I•••	Nov 23, 2015

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
30184:6413:IL:2018-07-10	Jul 10, 2018	Jul 6, 2018	DOWNERS GROVE, IL	Firm change
149018:30184:WA:2015-11-23	Nov 23, 2015	Nov 23, 2015	WENATCHEE, WA	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 6, 2018 to Sep 27, 2022factForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
Nov 23, 2015 to Jul 10, 2018factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Aug 31, 2015 to Nov 23, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:039a447b-0115-5fa4-c23f-0574600b65b0
First observed: Aug 31, 2015
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.