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R••• S••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

R••• S••• L••••

Advisor at L•• F•••••••• L••

WHITTIER, CA

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Search this name across graphsid dfx:ria:6f891f90-a0ca-e4e7-9b17-9cb99af14ab7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 6, 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: 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: Jun 23, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	May 1, 2025	n/a	yes	WHITTIER, CA	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Sep 15, 2014	May 1, 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
S•• I••••••••• A•••••••• I•••	L•• F•••••••• L••	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
F•••••••• T••••••• I•••	S•• I••••••••• A•••••••• I•••	Sep 12, 2014

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 6, 2005 to Jun 20, 2013factForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 15, 2014 to May 1, 2025factForm ADV
→ F•••••••• T••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2013 to Sep 12, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f891f90-a0ca-e4e7-9b17-9cb99af14ab7
First observed: May 6, 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.