DFX Intelligence

T••••• M•••• J••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

T••••• M•••• J••••••

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:750ab538-1517-2434-22ea-8131b86e7be9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 23, 2001 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: Nov 22, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Sep 27, 2019	n/a	yes	LOS ANGELES, CA\|SAN JOSE, CA\|SAN FRANCISCO, CA\|DUBLIN, CA\|PAL ALTO, CA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 21, 2014	Sep 27, 2019	no	SAN JOSE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	L•• F•••••••• L••	Sep 27, 2019	Sep 27, 2019	0	Firm change	Ibd to ibd
C••••• I••••••••• S••••••• L••	C••••• I••••••••• A••••••• L••	Jan 21, 2014	Jan 21, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:6413:CA:2019-09-27	Sep 27, 2019	Sep 27, 2019	SAN JOSE, CA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 27, 2019 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to Sep 27, 2019factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Nov 30, 2010 to Jan 21, 2014factForm ADV
→ C••• F•••••••• S•••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:750ab538-1517-2434-22ea-8131b86e7be9
First observed: Jul 23, 2001
Last observed: Sep 15, 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.