DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

R•••••• H••••• C•••

Advisor at L•• F•••••••• L••

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:18c4f748-2d9b-14e3-8224-d61f3b894b3d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 13, 2003 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•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 13, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 5, 2025	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
W•••••• I••••••••• S•••••••••	Former SEC adviser	Oct 21, 2008	Jun 5, 2025	no	Westlake Village, CA\|Pasadena, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• I••••••••• S•••••••••	L•• F•••••••• L••	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
C••••••• W••••• • C••	W•••••• I••••••••• S•••••••••	Oct 28, 2008	Oct 21, 2008

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ W•••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Oct 21, 2008 to Jun 5, 2025factForm ADV
→ C••••••• W••••• • C••Registered adviserregistration: previous registration
Jun 1, 2007 to Oct 28, 2008factForm ADV
→ S•••• I••••••••• A••••••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18c4f748-2d9b-14e3-8224-d61f3b894b3d
First observed: May 13, 2003
Last observed: Sep 14, 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.