DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

C••••••••• M•••••• M••••

Advisor at L•• F•••••••• L••

SAN MATEO, CA

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Search this name across graphsid dfx:ria:963f1b68-9645-f21f-649f-d7894f643133

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 31, 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: Jan 26, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom 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 19, 2020	n/a	yes	SAN MATEO, CA	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Jun 13, 2016	Sep 8, 2020	no	SAN MATEO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	L•• F•••••••• L••	Sep 8, 2020	Aug 19, 2020	-20	Firm change	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	S••••••• F•••••••• S•••••••• I•••	Jun 2, 2016	Jun 13, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
15296:6413:CA:2020-09-04	Sep 8, 2020	Aug 19, 2020	SAN MATEO, CA	Firm change
10409:6363:CA:2015-01-02	Jan 2, 2015	Dec 26, 2014	PLEASANTON, CA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 19, 2020 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jun 13, 2016 to Sep 8, 2020factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Dec 26, 2014 to Jun 2, 2016factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:963f1b68-9645-f21f-649f-d7894f643133
First observed: Jan 31, 2007
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.