DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)35 years in industry

P••••••• A•• S••••••

Advisor at L•• F•••••••• L••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:40b1aa25-7227-0162-b0d3-c531ad94569d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 31, 1997 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 19, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 1, 2024	n/a	yes	NEWPORT BEACH, CA	Current employment
C•••• C•••••• S••••••••• L•••	Former SEC adviser	Apr 5, 2005	May 1, 2024	no	NEWPORT BEACH, CA\|NEWORT BEACH, CA\|NEWPORT BEACH, CA\|ORANGE, CA\|SANTA ANA, CA\|NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|ORANGE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• C•••••• S••••••••• L•••	L•• F•••••••• L••	May 1, 2024	May 1, 2024	0	Bulk transfer	Ibd to ibd
N•• E•••••• S••••••••• C•••••••••	C•••• C•••••• S••••••••• L•••	Apr 15, 2005	Apr 5, 2005

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 1, 2024 to presentfactForm ADV
→ C•••• C•••••• S••••••••• L•••Registered adviserregistration: previous registration
Apr 5, 2005 to May 1, 2024factForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Dec 31, 1997 to Apr 15, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40b1aa25-7227-0162-b0d3-c531ad94569d
First observed: Dec 31, 1997
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.