DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

S•••• D•••• V•••••••

Advisor at L•• F•••••••• L••

S••••SDALE, AZ

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Search this name across graphsid dfx:ria:3e6a7497-0c3f-62eb-5d85-a97448a313ef

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2005 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: Jun 21, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Dec 18, 2020	n/a	yes	S••••SDALE, AZ	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Sep 18, 2020	Dec 21, 2020	no	S••••SDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	L•• F•••••••• L••	Dec 21, 2020	Dec 18, 2020	-3	Firm change	Ibd to ibd
S•• A•••••••• I•••	H••••••••• G•••• E••••• • R••••••••• S•••••••••	Sep 18, 2020	Nov 20, 2013

Relationships

Registered with (9)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 18, 2020 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 18, 2020 to Dec 21, 2020factForm ADV
→ S•• A•••••••• I•••Registered adviserregistration: previous registration
Nov 5, 2013 to Sep 18, 2020factForm ADV
→ F•••••••• R••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e6a7497-0c3f-62eb-5d85-a97448a313ef
First observed: Apr 5, 2005
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.