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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industrynot currently registered

G•••••• R•••• H••••••

Advisor at L•• F•••••••• L••

SANTA ROSA, CA

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Search this name across graphsid dfx:ria:8e3ed138-798a-b118-91e4-b1ec230f6f69

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 21, 1998 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 21, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 12, 2025	n/a	yes	SANTA ROSA, CA	Current employment
Q•••••• A•••• M••••••••• I•••	Former SEC adviser	Jul 21, 2015	Jan 10, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Q•••••• A•••• M••••••••• I•••	L•• F•••••••• L••	Jan 10, 2019	Oct 12, 2025	2,467	Firm change after gap	Ibd to ibd
L•• F•••••••• L••	Q•••••• A•••• M••••••••• I•••	Jul 23, 2015

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2009 to Jul 23, 2015factForm ADV
→ Q•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Jul 21, 2015 to Jan 10, 2019factForm ADV
→ A••••••••• S••••••••• C••••Registered adviserregistration: previous registration
Jan 2, 2009 to Sep 8, 2009factForm ADV
→ F•• S••••••••• C•••••••••Registered adviser

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 17, 2026
date not stated
G•••••• R•••• H•••••• no longer holds an investment adviser registration (last listed at L•• F•••••••• L•• on the 2026-09-16 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e3ed138-798a-b118-91e4-b1ec230f6f69
First observed: Jun 21, 1998
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.