DFX Intelligence

D•••••• M•••••• D••••••: 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)21 years in industry

D•••••• M•••••• D••••••

Advisor at L•• E••••••••• L••

GARDEN GROVE, CA | ORANGE, 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:0855e140-7151-6e0c-8884-f0a7271e8213

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 25, 2005 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•• E••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 23, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• E••••••••• L••	Bd affiliated wealth	Nov 14, 2024	n/a	yes	GARDEN GROVE, CA\|ORANGE, CA	Current employment
P•••• S••••••••• L••	No RAUM reported	Feb 21, 2007	Nov 14, 2024	no	IRVINE, CA\|BELGIUM, WI\|BREA, CA\|SHERMAN OAKS, CA\|BELGIUM, WI\|WAUWATOSA, WI\|CITY OF INDUSTRY, CA\|SHERMAN OAKS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	L•• E••••••••• L••	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
A••••••••• F•••••••• S•••••••• L••	P•••• S••••••••• L••	Oct 24, 2006	Feb 21, 2007

Relationships

Registered with (3)

→ L•• E••••••••• L••Registered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Feb 21, 2007 to Nov 14, 2024factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 25, 2005 to Oct 24, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0855e140-7151-6e0c-8884-f0a7271e8213
First observed: Apr 25, 2005
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.