DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

P•••••• T• D••••

Advisor at L•• F•••••••• L••

SURPRISE, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2013 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: Feb 29, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom 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	SURPRISE, AZ	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Mar 31, 2022	May 1, 2025	no	Surprise, AZ\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• A•••••••• I•••	L•• F•••••••• L••	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
F•••• F•••••••• E••••• C•••••••••	S•• I••••••••• A•••••••• I•••	Mar 31, 2022	Mar 31, 2022

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 31, 2022 to May 1, 2025factForm ADV
→ F•••• F•••••••• E••••• C•••••••••Registered adviserregistration: previous registration
Nov 14, 2017 to Mar 31, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Order

Occurred
31 Mar 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 3, 2013
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.