DFX Intelligence

S•••• V•••••• C•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

S•••• V•••••• C•••

Advisor at L•• F•••••••• L••

ANAHEIM, CA

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Search this name across graphsid dfx:ria:9240c14e-8201-70db-9f60-b8cd33cd8bc7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Oct 29, 2007 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: Oct 26, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Dec 20, 2024	n/a	yes	ANAHEIM, CA	Current employment
S••••• W••••• A•••••••• I•••	No RAUM reported	Mar 27, 2024	Jan 2, 2025	no	Newport Beach, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• W••••• A•••••••• I•••	L•• F•••••••• L••	Jan 2, 2025	Dec 20, 2024	-13	Firm change	Other
O••••••• F•••••••• I•••	S••••• W••••• A•••••••• I•••	Mar 28, 2024	Mar 27, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
11025:315963:CA:2021-10-18	Oct 18, 2021	Oct 14, 2021	IRVINE, CA	Firm change

Relationships

Registered with (8)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 20, 2024 to presentfactForm ADV
→ S••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 27, 2024 to Jan 2, 2025factForm ADV
→ O••••••• F•••••••• I•••Registered adviserregistration: previous registration
Sep 22, 2023 to Mar 28, 2024factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Jan 2, 2025
Advisor changed firm
S•••• V•••••• C••• left S••••• W••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-12-20)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Advisor changed firm
S•••• V•••••• C••• left O••••••• F•••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2024-03-27)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9240c14e-8201-70db-9f60-b8cd33cd8bc7
First observed: Oct 29, 2007
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.