DFX Intelligence

D••••• D•••••• P•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

D••••• D•••••• P•••••••

Advisor at L•• F•••••••• L••

ALAMO, CA

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Search this name across graphsid dfx:ria:7c20ff14-422e-ecff-b065-f42f330661c8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 22, 2010 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: Dec 30, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom 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	May 21, 2025	n/a	yes	ALAMO, CA	Current employment
A•••••••• W••••• A•••••••	Former SEC adviser	Nov 28, 2017	May 30, 2025	no	ALAMO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• W••••• A•••••••	L•• F•••••••• L••	May 30, 2025	May 21, 2025	-9	Firm change	RIA to ibd
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	A•••••••• W••••• A•••••••	Sep 17, 2015	Nov 28, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
280028:6413:CA:2025-05-30	May 30, 2025	May 21, 2025	ALAMO, CA	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 21, 2025 to presentfactForm ADV
→ A•••••••• W••••• A•••••••Registered adviserregistration: previous registration
Nov 28, 2017 to May 30, 2025factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Jan 22, 2010 to Sep 17, 2015factForm ADV

Dated events

Occurred
May 30, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c20ff14-422e-ecff-b065-f42f330661c8
First observed: Jan 22, 2010
Last observed: Sep 14, 2026 9 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.