DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

S•••••• C••••• R•••

Advisor at L•• F•••••••• L••

PALMDALE, CA | SANTA CLARITA, CA

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:78975763-d2fd-01df-170b-d7be278d95dd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Oct 30, 2002 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 4, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 10

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 15, 2025	n/a	yes	PALMDALE, CA\|SANTA CLARITA, CA	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Jan 16, 2023	May 15, 2025	no	PALMDALE, CA\|Stevenson Ranch, CA\|SAN DIEGO, CA\|Santa Clarita, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	L•• F•••••••• L••	May 15, 2025	May 15, 2025	0	Bulk transfer	Ibd to ibd
W••••• F•••••••• S•••••••• L••	C••• F•••••••• S•••••••• L•••	Feb 6, 2023	Jan 16, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 16, 2023	PASADENA, CA	Firm change

Relationships

Registered with (11)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Jan 16, 2023 to May 15, 2025factForm ADV
→ W••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 30, 2017 to Feb 6, 2023factForm ADV
→ I••••• F•••••••• C•••••••••

Dated events

Occurred
Feb 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78975763-d2fd-01df-170b-d7be278d95dd
First observed: Oct 30, 2002
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.