DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

R••••• A••• C•••••

Advisor at L•• F•••••••• L••

LAGUNA BEACH, CA

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Search this name across graphsid dfx:ria:9b554496-4923-d77f-6a79-1a7e376d494b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 19, 2001 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 30, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Apr 29, 2025	n/a	yes	LAGUNA BEACH, CA	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Oct 15, 2021	Apr 29, 2025	no	NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	L•• F•••••••• L••	Apr 29, 2025	Apr 29, 2025	0	Firm change	Ibd to ibd
O••••••••• • C•• I•••	R•••••• J•••• • A••••••••• I•••	Oct 22, 2021	Oct 15, 2021

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 29, 2025 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Oct 15, 2021 to Apr 29, 2025factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Sep 12, 2018 to Oct 22, 2021factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

Occurred
Apr 29, 2025
Advisor changed firm
R••••• A••• C••••• left R•••••• J•••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2025-04-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b554496-4923-d77f-6a79-1a7e376d494b
First observed: Sep 19, 2001
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.