DFX Intelligence

S••••• S•••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S••••• S•••• K•••••••

Advisor at L•• F•••••••• L••

SAN DIEGO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 13, 2006 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 24, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 16derivedfrom 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	Jun 29, 2010	n/a	yes	SAN DIEGO, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Oct 1, 2007	Feb 9, 2010	no	WALNUT CREEK, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• C••• A•••• M•••••••••	U•• F•••••••• S••••••• I•••	Dec 31, 2010	Oct 1, 2007	-1,187	Firm change after gap	Other
U•• F•••••••• S••••••• I•••	L•• F•••••••• L••	Feb 9, 2010	Jun 29, 2010

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 29, 2010 to presentfactForm ADV
→ B••• C••• A•••• M•••••••••Registered adviserregistration: previous registration
Jun 13, 2006 to Dec 31, 2010factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Oct 1, 2007 to Feb 9, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 13, 2006
Last observed: Sep 14, 2026 9 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.