DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorChartered Financial Analyst33 years in industry

B•••• L••• E•••••••••

Advisor at L••• C•••• C•••••• M••••••••• L••

SAN RAFAEL, CA

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:1fe41bbf-b57b-21fb-b75d-5eb799dbd6d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Sep 6, 2001 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••• C•••• C•••••• M••••••••• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Aug 27, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••• C•••• C•••••• M••••••••• L••	Former SEC adviser	Oct 19, 2012	n/a	yes	SAN RAFAEL, CA	Current employment
G•• A•••••••	Former SEC adviser	May 17, 2010	Oct 29, 2012	no	SAN FRANCIACO, CA\|SANTA ROSA, CA\|SANTA ROSA, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•• A•••••••	L••• C•••• C•••••• M••••••••• L••	Oct 29, 2012	Oct 19, 2012	-10	Firm change	Other
N••••••••• C•••••• P••••••• I•••	G•• A•••••••	May 14, 2010	May 17, 2010

Relationships

Registered with (8)

→ L••• C•••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Oct 19, 2012 to presentfactForm ADV
→ G•• A•••••••Registered adviserregistration: previous registration
May 17, 2010 to Oct 29, 2012factForm ADV
→ N••••••••• C•••••• P••••••• I•••Registered adviserregistration: previous registration
Jun 15, 2009 to May 14, 2010factForm ADV
→ M••••• S••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1fe41bbf-b57b-21fb-b75d-5eb799dbd6d9
First observed: Sep 6, 2001
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.