DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

H•••• R•••••• G••••••••

Advisor at L•• F•••••••• L••

PRESCOTT, AZ | SURPRISE, AZ

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Search this name across graphsid dfx:ria:43e2919a-71b3-1bcd-5c65-f0b65b23e573

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 30, 2000 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: Aug 17, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 23derivedfrom 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	Feb 10, 2003	n/a	yes	PRESCOTT, AZ\|SURPRISE, AZ	Current employment
F•••••••• P••••••• C••••••••• L••	Former SEC adviser	Feb 6, 2002	Mar 28, 2014	no	SAN JOSE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• P••••••• C••••••••• L••	L•• F•••••••• L••	Mar 28, 2014	Feb 10, 2003	-4,064	Firm change after gap	Other
C•••••••• F••••••••• I•••	F•••••••• P••••••• C••••••••• L••	Feb 18, 2003	Feb 6, 2002

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 10, 2003 to presentfactForm ADV
→ F•••••••• P••••••• C••••••••• L••Registered adviserregistration: previous registration
Feb 6, 2002 to Mar 28, 2014factForm ADV
→ C•••••••• F••••••••• I•••Registered adviserregistration: previous registration
May 30, 2000 to Feb 18, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43e2919a-71b3-1bcd-5c65-f0b65b23e573
First observed: May 30, 2000
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.