DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

S•••••••• G•••••

Advisor at L•••••• W••••• M••••••••• L••

OAKLAND, CA

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Search this name across graphsid dfx:ria:3aa9d4f6-b78d-edda-87ed-f122c1a76670

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2016 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•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•••••• W••••• M••••••••• L••	Independent wealth	May 17, 2018	n/a	yes	OAKLAND, CA	Current employment
L•••••• W••••• M••••••••• L••	Former SEC adviser	Aug 18, 2016	Oct 10, 2018	no	OAKLAND, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• W••••• M••••••••• L••	L•••••• W••••• M••••••••• L••	Oct 10, 2018	May 17, 2018	-146	Channel change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
106036:286001:CA:2018-10-10	Oct 10, 2018	May 17, 2018	OAKLAND, CA	Firm change after gap

Relationships

Registered with (2)

→ L•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
May 17, 2018 to presentfactForm ADV
→ L•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Aug 18, 2016 to Oct 10, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3aa9d4f6-b78d-edda-87ed-f122c1a76670
First observed: Aug 18, 2016
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.