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N••• F•••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

N••• F•••• M••••

Advisor at L•• F•••••••• L••

SAN DIEGO, CA | WHEATLAND, WY | HONOLULU, HI

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Search this name across graphsid dfx:ria:49e2f6c9-ff27-cf65-2cf4-1c60bba946b5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 11, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Dec 10, 2020	n/a	yes	HONOLULU, HI\|WHEATLAND, WY\|SAN DIEGO, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jul 1, 2003	Dec 14, 2020	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	L•• F•••••••• L••	Dec 14, 2020	Dec 10, 2020	-4	Firm change	Wirehouse to ibd
P••••••••• E••••• G••••• L••	W•••• F•••• A•••••••	Jul 1, 2003

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 10, 2020 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 1, 2003 to Dec 14, 2020factForm ADV
→ P••••••••• E••••• G••••• L••Registered adviserregistration: previous registration
Jul 8, 1997 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49e2f6c9-ff27-cf65-2cf4-1c60bba946b5
First observed: Jul 8, 1997
Last observed: Sep 15, 2026 7 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.