DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)44 years in industry

M•••••• L•••••• M••••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:1de3a20d-ba8b-f50d-c90f-525e482ce8ad

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 24, 2004 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 1, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jan 1, 2025	n/a	yes	SAN DIEGO, CA\|Oregon City, OR\|ORGEON CITY, OR	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Oct 25, 2019	Jun 28, 2024	no	IRVING, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	L•• F•••••••• L••	Jun 28, 2024	Jan 1, 2025	187	Firm change	Ibd to ibd
1•• G••••• A••••••• I••	A•••••• A••••••• S•••••••	Oct 25, 2019	Oct 25, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
104556:6413:TX:2024-06-28	Jun 28, 2024	Jan 1, 2025	IRVING, TX	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Oct 25, 2019 to Jun 28, 2024factForm ADV
→ 1•• G••••• A••••••• I••Registered adviserregistration: previous registration
Aug 24, 2004 to Oct 25, 2019factForm ADV

Dated events

Occurred
Jun 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1de3a20d-ba8b-f50d-c90f-525e482ce8ad
First observed: Aug 24, 2004
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.