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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

R••••• B•••• A•••••••

Advisor at L•• F•••••••• L••

CHICO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 31, 1997 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: Dec 30, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jan 1, 2025	n/a	yes	CHICO, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	Nov 27, 2024	no	CHICO, CA\|SACRAMENTO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	L•• F•••••••• L••	Nov 27, 2024	Jan 1, 2025	35	Firm change	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
23131:6413:CA:2024-11-25	Nov 27, 2024	Jan 1, 2025	SACRAMENTO, CA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 31, 1997 to Jan 6, 2005factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jun 14, 2024 to Nov 27, 2024factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 23, 2009 to Jun 14, 2024factForm ADV
→ B••••• • Y•••• A•••••••• I•••

Dated events

Order

Occurred
27 Nov 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 31, 1997
Last observed: Sep 14, 2026 10 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.