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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

D••••••• R•••

Advisor at L•• F•••••••• L••

SAN JOSE, 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:2da56e24-3d8c-4ca6-eedc-83e1fdabccce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 24, 2008 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jul 10, 2025	n/a	yes	SAN JOSE, CA	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	Jan 25, 2023	Jul 10, 2025	no	San Jose, CA\|Syracuse, NY

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	L•• F•••••••• L••	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
M•••••• A•••••• N••••••	C•••••• G•••• • C• I••	Jan 27, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283824:10641:CA:2023-01-27	Jan 27, 2023	Jan 25, 2023	SAN JOSE, CA	Firm change

Relationships

Registered with (7)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Jan 25, 2023 to Jul 10, 2025factForm ADV
→ M•••••• A•••••• N••••••Registered adviserregistration: previous registration
Jul 8, 2016 to Jan 27, 2023factForm ADV
→ S•••••••• W••••• A••••••• G••••

Dated events

Occurred
Jan 27, 2023
A•••••• firm change
D••••••• R••• left M•••••• A•••••• N•••••• for C•••••• G•••• • C• I•• (registered 2023-01-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2da56e24-3d8c-4ca6-eedc-83e1fdabccce
First observed: Mar 24, 2008
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.