DFX Intelligence

C••••••••• J••••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

C••••••••• J••••• B••••••

Advisor at L•• F•••••••• L••

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:93c1f326-c76a-2308-1786-86c4ecf810d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 30, 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: Jul 24, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Aug 8, 2024	n/a	yes	SAN FRANCISCO, CA	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Jul 31, 2012	May 18, 2022	no	SAN FRANCISCO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 18, 2022	Aug 8, 2024	813	Bulk transfer	Ibd to ibd
B••••••• I••••••••• S•••••••• I••• •••••	C••• B•••••••• S•••••••• I•••	Jul 26, 2012	Jul 31, 2012

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 8, 2024 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 31, 2012 to May 18, 2022factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Jun 29, 2010 to Jul 26, 2012factForm ADV
→ U••• B•••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93c1f326-c76a-2308-1786-86c4ecf810d6
First observed: Jan 30, 2008
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.