DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)33 years in industry

D•••• K•••• W•••

Advisor at L•• F•••••••• L••

SANTA ROSA, CA

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Search this name across graphsid dfx:ria:2956d6c9-142e-0dc9-eb97-7c55a669888c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 30, 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•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
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: 1derivedfrom 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	Nov 19, 2024	n/a	yes	SANTA ROSA, CA	Current employment
O•••• F•• I•••	Former SEC adviser	Nov 15, 2007	Nov 12, 2024	no	SANTA ROSA, CA\|SAN RAMON, CA\|SANTA ROSA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	L•• F•••••••• L••	Nov 12, 2024	Nov 19, 2024	7	Firm change	Ibd to ibd
M•• I•••••••• S•••••••• L••	O•••• F•• I•••	Dec 3, 2007	Nov 15, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
3978:6413:CA:2024-11-07	Nov 12, 2024	Nov 19, 2024	SANTA ROSA, CA	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 19, 2024 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Nov 15, 2007 to Nov 12, 2024factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 30, 2001 to Dec 3, 2007factForm ADV

Dated events

Occurred
Nov 12, 2024
Advisor changed firm
D•••• K•••• W••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-11-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2956d6c9-142e-0dc9-eb97-7c55a669888c
First observed: Oct 30, 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.