DFX Intelligence

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

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

J••• B•••••• A•••••••

Advisor at L•• F•••••••• L••

SANTA CRUZ, CA

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Search this name across graphsid dfx:ria:6f233c0b-fad3-6e5f-9ba1-3ba6bd7fd5a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 5, 2002 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: Jan 17, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 22, 2025	n/a	yes	SANTA CRUZ, CA	Current employment
S•••••••• W••••• A••••••• G••••	Former SEC adviser	Jun 5, 2015	Jul 21, 2016	no	CAMPBELL, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• W••••• A••••••• G••••	L•• F•••••••• L••	Jul 21, 2016	Nov 22, 2025	3,411	Firm change after gap	Other
U••• B•••••• I••••••••• I•••	S•••••••• W••••• A••••••• G••••	Jun 3, 2015	Jun 5, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
140977:6413:CA:2016-07-08	Jul 21, 2016	Nov 22, 2025	CAMPBELL, CA	Firm change after gap

Relationships

Registered with (7)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 22, 2025 to presentfactForm ADV
→ S•••••••• W••••• A••••••• G••••Registered adviserregistration: previous registration
Jun 5, 2015 to Jul 21, 2016factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 3, 2010 to Jun 3, 2015factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f233c0b-fad3-6e5f-9ba1-3ba6bd7fd5a8
First observed: Nov 5, 2002
Last observed: Sep 14, 2026 9 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.