DFX Intelligence

S••••• A•• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

S••••• A•• W•••••••

Advisor at L•• F•••••••• L••

ROLLING HILLS, CA

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Search this name across graphsid dfx:ria:337cec58-0b19-8325-981b-c84d6950d47f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 2, 2009 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: Nov 23, 1992earliest 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 1, 2025	n/a	yes	ROLLING HILLS, CA	Current employment
G•••• P•••• A•••••••• L••	Former SEC adviser	Apr 1, 2021	May 1, 2025	no	ROCKVILLE, MD\|Rolling Hills Estates, CA\|ROCKVILLE, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••• P•••• A•••••••• L••	L•• F•••••••• L••	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
H• B•••• I•••	G•••• P•••• A•••••••• L••	Apr 1, 2021	Apr 1, 2021

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ G•••• P•••• A•••••••• L••Registered adviserregistration: previous registration
Apr 1, 2021 to May 1, 2025factForm ADV
→ H• B•••• I•••Registered adviserregistration: previous registration
May 29, 2019 to Apr 1, 2021factForm ADV
→ C••••••• • C••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:337cec58-0b19-8325-981b-c84d6950d47f
First observed: Jul 2, 2009
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.