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C•••••• H•••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

C•••••• H•••• S•••••

Advisor at L•• F•••••••• L••

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Search this name across graphsid dfx:ria:5ecf9028-f6c7-53c9-beac-a3fdb37a937e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2005 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: Feb 26, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom 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	Apr 12, 2018	n/a	yes	FREMONT, CA\|BRENTWOOD, CA\|CASTRO VALLEY, CA\|SAN JOSE, CA\|DANVILLE, CA\|HAYWARD, CA\|SAN LEANDRO, CA\|PLEASANTON, CA\|LIVERMORE, CA\|FREMONT, CA\|SAN FRANCISCO, CA\|UNION CITY, CA\|DUBLIN, CA\|FREMONT, CA\|MOUNTAIN VIEW, CA\|WALNUT CREEK, CA\|OAKLAND, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Feb 23, 2016

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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Mar 12, 2018	Apr 12, 2018	31	Firm change	Wirehouse to RIA
S•••••••• A••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Mar 8, 2016

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 12, 2018 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Feb 23, 2016 to Mar 12, 2018factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Feb 20, 2013 to Mar 8, 2016factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ecf9028-f6c7-53c9-beac-a3fdb37a937e
First observed: Nov 17, 2005
Last observed: Sep 15, 2026 6 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.

U••• B•••••• I••••••••• I•••

Former SEC adviser

Nov 17, 2005

Mar 17, 2009

Previous registration