DFX Intelligence

C•••• B••••• A•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

C•••• B••••• A•••

Advisor at L•• F•••••••• L••

VANCOUVER, WA

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Search this name across graphsid dfx:ria:4cd503a1-5fab-5b72-8453-31211a29e60a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 23, 2008 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: Apr 10, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2022	n/a	yes	VANCOUVER, WA	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Dec 19, 2017	Nov 29, 2022	no	VANCOUVER, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	L•• F•••••••• L••	Nov 29, 2022	Nov 29, 2022	0	Firm change	Ibd to RIA
D••• D••••••• • C••	S••••••••• A•••••• A•••••••• I•••	Sep 7, 2017	Dec 19, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
110518:6413:WA:2022-11-29	Nov 29, 2022	Nov 29, 2022	VANCOUVER, WA	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 16, 2009 to Mar 22, 2017factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 19, 2017 to Nov 29, 2022factForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Mar 15, 2017 to Sep 7, 2017factForm ADV
→ B••• W••••• A•••••••• I•••

Dated events

Occurred
Nov 29, 2022
Advisor changed firm
C•••• B••••• A••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-11-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4cd503a1-5fab-5b72-8453-31211a29e60a
First observed: Apr 23, 2008
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.