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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

L•••• S•••• W••••••

Advisor at L•• F•••••••• L••

MISSOURI CITY, TX | PLANO, TX

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Search this name across graphsid dfx:ria:76c4947d-23f0-0ad3-51d5-3cb9574564ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2000 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 29, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom 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	Mar 6, 2025	n/a	yes	PLANO, TX\|MISSOURI CITY, TX	Current employment
I• A••••••• S•••••••• I•••	Former SEC adviser	Aug 16, 2012	Mar 6, 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
I• A••••••• S•••••••• I•••	L•• F•••••••• L••	Mar 6, 2025	Mar 6, 2025	0	Bulk transfer	Ibd to ibd
B••••••••• L••	I• A••••••• S•••••••• I•••	Aug 16, 2012

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 6, 2025 to presentfactForm ADV
→ I• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Aug 16, 2012 to Mar 6, 2025factForm ADV
→ B••••••••• L••Registered adviserregistration: previous registration
May 17, 2010 to Aug 16, 2012factForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76c4947d-23f0-0ad3-51d5-3cb9574564ee
First observed: Mar 28, 2000
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.