DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

S•••••• M•••••• D•••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:7d0acc6f-e3a1-90e5-3463-f6eb7899fb44

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 29, 2009 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: Oct 1, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 15, 2025	n/a	yes	PASADENA, CA\|LOS ANGELES, CA\|HOLLYWOOD, CA\|CULVER CITY, CA\|STUDIO CITY, CA\|HOLLYWOOD, CA\|BURBANK, CA\|SANTA CLARITA, CA\|CULVER CITY, CA	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Jun 3, 2024	May 15, 2025	no

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
T•• A•••••••• G••••	C••• F•••••••• S•••••••• L•••	Jun 3, 2024	Jun 3, 2024

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Jun 3, 2024 to May 15, 2025factForm ADV
→ T•• A•••••••• G••••Registered adviserregistration: previous registration
Aug 2, 2022 to Jun 3, 2024factForm ADV
→ U••• B•••••• A•••••••• L••

Dated events

Occurred
Jun 3, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d0acc6f-e3a1-90e5-3463-f6eb7899fb44
First observed: Jul 29, 2009
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.