DFX Intelligence

M••••••• A• R••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

M••••••• A• R••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:43e27df8-b83e-bb2b-dad9-f676ad8b4211

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: May 18, 2016 to Sep 15, 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: Jan 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Nov 1, 2024	n/a	yes	SAN DIEGO, CA\|Sheffield Village, OH\|SHEFFIELD VILLAGE, OH	Current employment
H••••••••• A•••• M••••••••• I••	Former SEC adviser	Nov 21, 2016	Jan 5, 2023	no	Sheffield Village, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	H••••••••• A•••• M••••••••• I••	Nov 6, 2024	Nov 21, 2016	-2,907	Firm change after gap	Other
H••••••••• A•••• M••••••••• I••	L•• F•••••••• L••	Jan 5, 2023	Nov 1, 2024

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 1, 2024 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
May 18, 2016 to Nov 6, 2024factForm ADV
→ H••••••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Nov 21, 2016 to Jan 5, 2023factForm ADV

Dated events

Occurred
Nov 6, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43e27df8-b83e-bb2b-dad9-f676ad8b4211
First observed: May 18, 2016
Last observed: Sep 15, 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.