DFX Intelligence

N•••••• K•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

N•••••• K•••••••••

Advisor at L•• F•••••••• L••

SAN MATEO, CA

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Search this name across graphsid dfx:ria:7af15eb3-5def-8a5a-0f80-2c73d8eb8948

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 13, 2014 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: Nov 12, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 4, 2025	n/a	yes	SAN MATEO, CA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 1, 2015	Jun 10, 2025	no	SAN MATEO, CA\|Castro Valley, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	L•• F•••••••• L••	Jun 10, 2025	Jun 4, 2025	-6	Firm change	Ibd to ibd
T••••••• I••••••••• M••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Jun 10, 2015	Jul 1, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
6363:6413:CA:2025-05-09	Jun 10, 2025	Jun 4, 2025	CASTRO VALLEY, CA	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 4, 2025 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 1, 2015 to Jun 10, 2025factForm ADV
→ T••••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Nov 13, 2014 to Jun 10, 2015factForm ADV

Dated events

Occurred
Jun 10, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7af15eb3-5def-8a5a-0f80-2c73d8eb8948
First observed: Nov 13, 2014
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.