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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

L••• A••• F••••••

Advisor at C••••• I••••••••• A••••••• L••

LOS GATOS, CA | CAMPBELL, CA

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Search this name across graphsid dfx:ria:55a2e957-61ef-4b6b-1084-1f9a363aee83

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2005 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: C••••• I••••••••• A••••••• 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: Jun 30, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	LOS GATOS, CA\|CAMPBELL, CA	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Mar 3, 2022	Sep 5, 2025	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
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
L•• F•••••••• L••	M••••• M••• • A•••••••••	Mar 30, 2022

Relationships

Registered with (7)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Mar 3, 2022 to Sep 5, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 3, 2010 to Mar 30, 2022factForm ADV
→ M••••• M••• • A•••••••••Registered adviser

Dated events

Occurred
Mar 30, 2022
Advisor changed firm
L••• A••• F•••••• left L•• F•••••••• L•• for M••••• M••• • A••••••••• (registered 2011-07-08)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55a2e957-61ef-4b6b-1084-1f9a363aee83
First observed: Jun 30, 2005
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.