DFX Intelligence

C•••• T••••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

C•••• T••••• M••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:8d4850fa-f271-9512-1a3d-74389bc027a4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 9, 2008 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 20, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 15, 2026	n/a	yes	SAN DIEGO, CA\|Leander, TX\|LEANDER, TX	Current employment
E••••• J••••	National bd RIA	May 7, 2018	May 18, 2026	no	Cedar Park, TX\|ST LOUIS, MO\|AUSTIN, TX\|LEANDER, TX\|LEANDER, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	L•• F•••••••• L••	May 18, 2026	May 15, 2026	-3	Firm change	Ibd to ibd
H•••••• S••••••••• I•••	E••••• J••••	Jan 23, 2018	May 7, 2018

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 15, 2026 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
May 7, 2018 to May 18, 2026factForm ADV
→ H•••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 25, 2008 to Jan 23, 2018factForm ADV
→ A•••••• A••••••• S•••••••

Dated events

Occurred
May 18, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d4850fa-f271-9512-1a3d-74389bc027a4
First observed: Feb 9, 2008
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.