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B•••• A•••• U•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

B•••• A•••• U•••

Advisor at L•• F•••••••• L••

DALLAS, TX

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Search this name across graphsid dfx:ria:1e06c9a7-3eed-9639-62e1-8f139e0bc63a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 18, 2008 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 17, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 23, 2018	n/a	yes	DALLAS, TX	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Oct 21, 2014	Nov 23, 2018	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	L•• F•••••••• L••	Nov 23, 2018	Nov 23, 2018	0	Firm change	Ibd to RIA
F•••• A••••• S••••••••• I•••	F•••• A••••• A••••••• S•••••••• I•••	Apr 2, 2014

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 3, 2012 to Mar 17, 2014factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 21, 2014 to Nov 23, 2018factForm ADV
→ F•••• A••••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 11, 2014 to Apr 2, 2014factForm ADV
→ O•••• P•••••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e06c9a7-3eed-9639-62e1-8f139e0bc63a
First observed: Jul 18, 2008
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.