DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

M•••• M••••••••• H•••••

Advisor at L•• F•••••••• L••

LAKE FOREST, CA | NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:0ed1bc1d-c202-7a28-f344-0ebc4238f741

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 10, 1999 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: May 19, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 13, 2004	n/a	yes	NEWPORT BEACH, CA\|LAKE FOREST, CA	Current employment
F•••••••• W••• G••••	Former SEC adviser	Jun 10, 1999	Nov 28, 2003	no	NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• W••• G••••	L•• F•••••••• L••	Nov 28, 2003	Sep 13, 2004	290	Firm change	Other

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 13, 2004 to presentfactForm ADV
→ F•••••••• W••• G••••Registered adviserregistration: previous registration
Jun 10, 1999 to Nov 28, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ed1bc1d-c202-7a28-f344-0ebc4238f741
First observed: Jun 10, 1999
Last observed: Sep 15, 2026 8 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.