DFX Intelligence

R••••• D•••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor48 years in industry

R••••• D•••• S•••••

Advisor at L•• F•••••••• S•••••••• L••

WILMINGTON, NC | SAN JUAN CAPISTRANO, CA

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Search this name across graphsid dfx:ria:9810c3d6-ba6b-ba64-5696-45e763190287

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2002 to Sep 15, 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•••••••• S•••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Dec 1, 1977earliest registration or exam on IAPD
Years in industry: 48derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• S•••••••• L••	State registered	Oct 1, 2020	n/a	yes	SAN JUAN CAPISTRANO, CA\|WILMINGTON, NC	Current employment
E••• F•••••••• S••••••• L••	State registered	Nov 24, 2015	Jul 25, 2019	no	ANAHEIM, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••• F•••••••• S••••••• L••	L•• F•••••••• S•••••••• L••	Jul 25, 2019	Oct 1, 2020	434	Firm change after gap	Other
O••••••••• • C•• I•••	O••••••••• A•••• M•••••••••	Jan 5, 2016	Apr 15, 2003

Team moves

••• Locked

Team	Left	Joined	From	Kind
175408:300221:CA:2019-07-25	Jul 25, 2019	Oct 1, 2020	ANAHEIM, CA	Firm change after gap
249:105559:NY:2016-01-05	Jan 5, 2016	Apr 15, 2003	NEW YORK, NY	Firm change after gap

Relationships

Registered with (5)

→ L•• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 1, 2020 to presentfactForm ADV
→ E••• F•••••••• S••••••• L••Registered adviserregistration: previous registration
Nov 24, 2015 to Jul 25, 2019factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jan 3, 2003 to Jan 5, 2016factForm ADV
→ O••••••••• A•••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9810c3d6-ba6b-ba64-5696-45e763190287
First observed: Mar 12, 2002
Last observed: Sep 15, 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.