DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

A••• P•••••• C•••••

Advisor at L•• F•••••••• L••

••• Locked

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:86266cd3-f8a6-6816-2746-9480e745f58a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 1, 2006 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 6, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Aug 26, 2021	n/a	yes	CORPUS CHRISTI, TX\|SAN DIEGO, CA\|CORPUS CHRISTI, TX\|Corpus Christi, TX	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Jun 9, 2021	Sep 1, 2021	no	TOLEDO, OH\|Corpus Christi, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	L•• F•••••••• L••	Sep 1, 2021	Aug 26, 2021	-6	Firm change	Ibd to ibd
V••• F•••••••• A•••••••• I•••	C••••• A•••••• N••••••• L••	Jun 9, 2021	Jun 9, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:6413:TX:2021-09-01	Sep 1, 2021	Aug 26, 2021	CORPUS CHRISTI, TX	Firm change
2882:13572:OH:2021-06-09	Jun 9, 2021	Jun 9, 2021	TOLEDO, OH	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 26, 2021 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Jun 9, 2021 to Sep 1, 2021factForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 5, 2020 to Jun 9, 2021factForm ADV
→ M••••••• I••••••••• N•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86266cd3-f8a6-6816-2746-9480e745f58a
First observed: Sep 1, 2006
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.