DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

D•••• C••• R••••

Advisor at L•• F•••••••• L••

••• Locked

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:180a5fe0-5592-fd1d-f53e-63bda606fc86

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 11, 1997 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: Apr 21, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 10, 2026	n/a	yes	Prosper, TX\|SAN DIEGO, CA\|PROSPER, TX	Current employment
E•• F•••••••• A•••••••	Independent wealth	Jul 30, 2010	Feb 11, 2026	no	AUSTIN, TX\|SAN ANTONIO, TX\|MONTPELIER, VT\|ADDISON, TX\|PROSPER, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•• F•••••••• A•••••••	L•• F•••••••• L••	Feb 11, 2026	Feb 10, 2026	-1	Firm change	RIA to ibd
C•••• F•••••••• S••••••• C•••••••••	E•• F•••••••• A•••••••	Aug 2, 2010	Jul 30, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
265:6413:TX:2026-02-11	Feb 11, 2026	Feb 10, 2026	PROSPER, TX	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 10, 2026 to presentfactForm ADV
→ E•• F•••••••• A•••••••Registered adviserregistration: previous registration
Jul 30, 2010 to Feb 11, 2026factForm ADV
→ C•••• F•••••••• S••••••• C•••••••••Registered adviserregistration: previous registration
Jul 1, 2008 to Aug 2, 2010factForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

Dated events

Occurred
Feb 11, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:180a5fe0-5592-fd1d-f53e-63bda606fc86
First observed: Jun 11, 1997
Last observed: Sep 15, 2026 7 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.