DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

C•••••• M•••••• C••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:9a3d04fd-0609-c432-31f1-a2075a3b0617

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2005 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•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 10, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 18, 2022	n/a	yes	DURANGO, CO\|ALBUQUERQUE, NM\|EDGEWOOD, NM\|ALBUQUERQUE, NM\|ALBUQUERQUE, NM\|ALBUQUERQUE, NM\|ALBUQUERQUE, NM	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Jan 14, 2016	May 18, 2022	no	ALBUQUERQUE, NM\|Albuquerque, NM\|Albuquerque, NM\|ALBUQUERQUE, NM\|Albuquerque, NM

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
A•••••• A••••••• S•••••••	C••• B•••••••• S•••••••• I•••	Dec 31, 2015	Jan 14, 2016

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 18, 2022 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 14, 2016 to May 18, 2022factForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Sep 19, 2011 to Dec 31, 2015factForm ADV
→ C•••••••• F••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a3d04fd-0609-c432-31f1-a2075a3b0617
First observed: Nov 14, 2005
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.