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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

LORA LYNN LEAVENWORTH

Advisor at VANGUARD ADVISERS, INC.

PLANO, TX

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Search this name across graphsid dfx:ria:064b78dd-ce2d-812c-e1ff-b3fc773cda78

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Feb 25, 2004 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: VANGUARD ADVISERS, INC.
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: Feb 25, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 29, 2022
First registration: Feb 25, 2004
Dual registered: yes, broker-dealer
Other names: LORA LEAVENWORTH|LORA LYNN LEAVENWORTH|LORA L LEAVENWORTH|LORA LEAVENWORTH
IAPD individual key: 4522718

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
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Jun 1, 2026	n/a	yes	PLANO, TX	Current employment
FISHER INVESTMENTS	Independent wealth	Sep 12, 2023	Mar 12, 2026	no	PLANO, TX	Previous registration
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	Dec 22, 2022	Aug 29, 2023	no	Yakima, WA\|OLYMPIA, WA	Previous registration
FISHER INVESTMENTS	Independent wealth	Aug 13, 2021	Jul 13, 2022	no	PLANO, TX\|PLANO, TX	Previous registration
TIETON CAPITAL MANAGEMENT	Mixed wealth	May 23, 2013	Sep 14, 2021	no	YAKIMA, WA	Previous registration
CAPSTONE WEALTH MANAGEMENT GROUP, LLC	Independent wealth	Feb 25, 2004	Dec 5, 2012	no	BEND, OR	Previous registration

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
FISHER INVESTMENTS	VANGUARD ADVISERS, INC.	Mar 12, 2026	Jun 1, 2026	81	Firm change	RIA to ibd
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	FISHER INVESTMENTS	Aug 29, 2023	Sep 12, 2023	14	Firm change	RIA to RIA
FISHER INVESTMENTS	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Jul 13, 2022	Dec 22, 2022	162	Firm change	RIA to RIA
TIETON CAPITAL MANAGEMENT	FISHER INVESTMENTS	Sep 14, 2021	Aug 13, 2021	-32	Firm change after gap	RIA to RIA
CAPSTONE WEALTH MANAGEMENT GROUP, LLC	TIETON CAPITAL MANAGEMENT	Dec 5, 2012	May 23, 2013	169	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
107342:106715:TX:2026-03-05	Mar 12, 2026	Jun 1, 2026	PLANO, TX	Firm change

Relationships

Registered with (5)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Jun 1, 2026 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Sep 12, 2023 to Mar 12, 2026factForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Dec 22, 2022 to Aug 29, 2023factForm ADV
→ TIETON CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
May 23, 2013 to Sep 14, 2021factForm ADV
→ CAPSTONE WEALTH MANAGEMENT GROUP, LLCRegistered adviserregistration: previous registration
Feb 25, 2004 to Dec 5, 2012factForm ADV

Dated events

Occurred
Mar 12, 2026
Advisor changed firm
Lora Lynn Leavenworth left Fisher Investments for Vanguard Advisers, Inc. (registered 2026-06-01)
Form ADVobserved 5 days ago
Occurred
Aug 29, 2023
Advisor changed firm
Lora Lynn Leavenworth left Financial Advocates Investment Management for Fisher Investments (registered 2023-09-12)
Form ADVobserved 5 days ago
Occurred
Jul 13, 2022
Advisor changed firm
Lora Lynn Leavenworth left Fisher Investments for Financial Advocates Investment Management (registered 2022-12-22)
Form ADVobserved 5 days ago