DFX Intelligence

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

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

R••••• R•• R••••••

Advisor at L•• F•••••••• L••

ROSEVILLE, CA | CHICO, CA

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Search this name across graphsid dfx:ria:0f70e274-1fb1-1aa1-f6fd-b74f8844457d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 24, 2014 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 27, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jul 10, 2025	n/a	yes	ROSEVILLE, CA\|CHICO, CA	Current employment
N••• F•••••••• G••••• I•••	Former SEC adviser	Jun 24, 2014	Jul 10, 2025	no	REDDING, CA\|HOUSTON, TX\|CHICO, CA\|ROSEVILLE, CA\|SANTA CLARA, CA\|SANTA CLARA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• F•••••••• G••••• I•••	L•• F•••••••• L••	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Jun 24, 2014 to Jul 10, 2025factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f70e274-1fb1-1aa1-f6fd-b74f8844457d
First observed: Jun 24, 2014
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.