DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

L•••• M•• B•••••

Advisor at A••••• A•••••••• L••

RENO, NV | SACRAMENTO, CA

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Search this name across graphsid dfx:ria:06c23f6f-c88a-f679-528a-5413d133dd15

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 21, 1994 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: A••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 2, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• A•••••••• L••	Independent wealth	May 11, 2009	n/a	yes	RENO, NV\|SACRAMENTO, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Apr 21, 1994	May 11, 2009	no	RENO, NV\|RENO, NV	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	A••••• A•••••••• L••	May 11, 2009	May 11, 2009	0	Firm change	Other

Relationships

Registered with (2)

→ A••••• A•••••••• L••Registered adviserregistration: current employment
May 11, 2009 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Apr 21, 1994 to May 11, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:06c23f6f-c88a-f679-528a-5413d133dd15
First observed: Apr 21, 1994
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.