DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

T•••• L••• M•••••

Advisor at L•• F•••••••• L••

NEWPORT BEACH, CA | IRVINE, CA

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Search this name across graphsid dfx:ria:19067011-f9ba-9116-de2f-a0ff67b88e88

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 6, 2007 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: Aug 26, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Sep 1, 2020	n/a	yes	NEWPORT BEACH, CA\|IRVINE, CA	Current employment
L•••• C•••••• G••••	Former SEC adviser	Jan 15, 2013	Oct 5, 2020	no	SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••• C•••••• G••••	L•• F•••••••• L••	Oct 5, 2020	Sep 1, 2020	-34	Firm change after gap	RIA to ibd
G••• S••••••• A••••••••• I•••	L•••• C•••••• G••••	Feb 28, 2011	Jan 15, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
152396:6413:CA:2020-10-05	Oct 5, 2020	Sep 1, 2020	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 1, 2020 to presentfactForm ADV
→ L•••• C•••••• G••••Registered adviserregistration: previous registration
Jan 15, 2013 to Oct 5, 2020factForm ADV
→ G••• S••••••• A••••••••• I•••Registered adviserregistration: previous registration
Apr 16, 2010 to Feb 28, 2011factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19067011-f9ba-9116-de2f-a0ff67b88e88
First observed: Feb 6, 2007
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.