DFX Intelligence

G•••••••• A•• S••••••••: 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

G•••••••• A•• S••••••••

Advisor at L•• F•••••••• L••

SEATTLE, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2003 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 17, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 14, 2018	n/a	yes	SEATTLE, WA	Current employment
I••••• F•••••••• C•••••••••	Former SEC adviser	Sep 1, 2016	Feb 14, 2018	no	KENT, WA\|SEATTLE, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F•••••••• C•••••••••	L•• F•••••••• L••	Feb 14, 2018	Feb 14, 2018	0	Bulk transfer	Other
P••••••••• S••••••••• C•••••••••	I••••• F•••••••• C•••••••••	Sep 1, 2016	Sep 1, 2016

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserregistration: previous registration
Sep 1, 2016 to Feb 14, 2018factForm ADV
→ P••••••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jul 18, 2012 to Sep 1, 2016factForm ADV
→ M•• A••••••• F•••••••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 14, 2003
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.