DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

C•••••••• A•• F•••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:50ff3e01-db7f-fc8d-28a1-689a29a72fe7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 21, 2002 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: Oct 18, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 1, 2020	n/a	yes	ARLINGTON, VA\|SAN DIEGO, CA\|SILVER SPRING, MD\|FAIRFAX, VA	Current employment
L•••• C•••••• G••••	Former SEC adviser	Apr 20, 2010	Sep 14, 2020	no	SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••• C•••••• G••••	L•• F•••••••• L••	Sep 14, 2020	Sep 1, 2020	-13	Firm change	RIA to ibd
R•••••• J• L•••• C••••••••• I•••	L•••• C•••••• G••••	Nov 11, 2010	Apr 20, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
152396:6413:CA:2020-09-04	Sep 14, 2020	Sep 1, 2020	SAN DIEGO, CA	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 1, 2020 to presentfactForm ADV
→ L•••• C•••••• G••••Registered adviserregistration: previous registration
Apr 20, 2010 to Sep 14, 2020factForm ADV
→ R•••••• J• L•••• C••••••••• I•••Registered adviserregistration: previous registration
Jul 16, 2008 to Nov 11, 2010factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50ff3e01-db7f-fc8d-28a1-689a29a72fe7
First observed: Oct 21, 2002
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.