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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C•••••• T••••••

Advisor at L•• E••••••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:9c71b369-442b-33bd-84bc-20e546569d9c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 21, 2020 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•• E••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• E••••••••• L••	Bd affiliated wealth	Nov 14, 2024	n/a	yes	HOUSTON, TX\|HOUSTON, TX	Current employment
P•••• S••••••••• L••	No RAUM reported	May 9, 2022	Nov 14, 2024	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	L•• E••••••••• L••	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
V•••• F•••••••• A•••••••• I•••	P•••• S••••••••• L••	May 19, 2022	May 9, 2022

Relationships

Registered with (3)

→ L•• E••••••••• L••Registered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
May 9, 2022 to Nov 14, 2024factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 21, 2020 to May 19, 2022factForm ADV

Dated events

Occurred
May 19, 2022
Advisor changed firm
C•••••• T•••••• left V•••• F•••••••• A•••••••• I••• for P•••• S••••••••• L•• (registered 2022-05-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c71b369-442b-33bd-84bc-20e546569d9c
First observed: Dec 21, 2020
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.