J••• L••• K••••

Advisor at L•• F•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6593f68d-3712-343a-53fc-84509f9eb02d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 27, 2010 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: Dec 8, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2017	n/a	yes	DIXON, CA\|STOCKTON, CA\|FAIRFIELD, CA\|TURLOCK, CA\|TRACY, CA\|SONORA, CA\|RIO VISTA, CA\|RIPON, CA\|PINE GROVE, CA\|OAKDALE, CA\|MODESTO, CA\|MODESTO, CA\|MANTECA, CA\|LODI, CA\|STOCKTON, CA\|ELK GROVE, CA\|STOCKTON, CA\|ANGELS CAMP, CA\|BRENTWOOD, CA\|NAPA, CA\|STOCKTON, CA\|LODI, CA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Jul 25, 2014	Nov 29, 2017

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	L•• F•••••••• L••	Nov 29, 2017	Nov 29, 2017	0	Firm change	Other
W•••• F•••• A•••••••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Jul 21, 2014	Jul 25, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:6413:CA:2017-11-29	Nov 29, 2017	Nov 29, 2017	STOCKTON, CA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Jul 25, 2014 to Nov 29, 2017factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 16, 2012 to Jul 21, 2014factForm ADV
→ P•• M•••••• A•••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6593f68d-3712-343a-53fc-84509f9eb02d
First observed: Oct 27, 2010
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.