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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R•••• G••• S••••••

Advisor at L•• F•••••••• L••

LAKE STEVENS, WA

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Search this name across graphsid dfx:ria:808e88d4-46c4-7824-c765-6b0af7b66c03

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 26, 2001 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: Jan 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 8derivedfrom 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	Nov 29, 2017	n/a	yes	LAKE STEVENS, WA	Current employment
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Former SEC adviser	Nov 9, 2001	Nov 29, 2017	no	MCALLEN, TX\|MCALLEN, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	L•• F•••••••• L••	Nov 29, 2017	Nov 29, 2017	0	Firm change	Other
L•• • H• F•••••••• S•••••••• L••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Dec 31, 2005

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:6413:TX:2017-11-29	Nov 29, 2017	Nov 29, 2017	MCALLEN, TX	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Nov 9, 2001 to Nov 29, 2017factForm ADV
→ L•• • H• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 26, 2001 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:808e88d4-46c4-7824-c765-6b0af7b66c03
First observed: Feb 26, 2001
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.