DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

P•••• R•••••• M•••••

Advisor at L•• F•••••••• L••

SAN RAFAEL, CA | PETALUMA, CA

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2004 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: Jul 9, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 15derivedfrom 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	Jun 13, 2011	n/a	yes	PETALUMA, CA\|SAN RAFAEL, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 23, 2009	Jun 13, 2011	no	SANTA ROSA, CA\|SAN RAFAEL, CA\|PETALUMA, CA\|SAN RAFAEL, CA\|FAIRFAX, CA\|TIBURON, CA\|MILL VALLEY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Jun 13, 2011	Jun 13, 2011	0	Firm change	Other
B••• O• A•••••• I••••••••• S•••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 23, 2009

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 13, 2011 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 23, 2009 to Jun 13, 2011factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Aug 11, 2008 to Oct 23, 2009factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 19, 2004
Last observed: Sep 15, 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.