DFX Intelligence

L•••••• S•• N••••••: 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 / WealthAdvisorCertified Financial Planner36 years in industry

L•••••• S•• N••••••

Advisor at S•••• R•••• W••••• M•••••••••

LARKSPUR, 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:236bf1fe-48de-89e4-40c3-c488b7820a46

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2005 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: S•••• R•••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 26, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• R•••• W••••• M•••••••••	Independent wealth	Mar 11, 2022	n/a	yes	LARKSPUR, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Aug 24, 2012	May 21, 2015	no	LARKSPUR, CA\|SACRAMENTO, CA\|LARKSPUR, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••• R•••• W••••• M•••••••••	May 21, 2015	Mar 11, 2022	2,486	Firm change after gap	Other
C••••• I••••••••• A••••••• L••	L•• F•••••••• L••	Aug 24, 2012	Aug 24, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:117627:CA:2015-05-21	May 21, 2015	Mar 11, 2022	LARKSPUR, CA	Firm change after gap

Relationships

Registered with (3)

→ S•••• R•••• W••••• M•••••••••Registered adviserregistration: current employment
Mar 11, 2022 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 24, 2012 to May 21, 2015factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Dec 20, 2005 to Aug 24, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:236bf1fe-48de-89e4-40c3-c488b7820a46
First observed: Dec 20, 2005
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.