DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner21 years in industry

M•••••• N••••• B••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:9f86d5e0-a7d6-7fce-a970-dc9afb52dd5f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 17, 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: Jan 14, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 23, 2024	n/a	yes	POWAY, CA\|SAN DIEGO, CA\|San Diego, CA	Current employment
C••••• W•••••	Independent wealth	Jan 18, 2019	Nov 21, 2024	no	LA JOLLA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• W•••••	L•• F•••••••• L••	Nov 21, 2024	Oct 23, 2024	-29	Firm change	RIA to ibd
P••• F•••••••• A•••••••• L••	C••••• W•••••	Jan 21, 2019	Jan 18, 2019

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 23, 2024 to presentfactForm ADV
→ C••••• W•••••Registered adviserregistration: previous registration
Jan 18, 2019 to Nov 21, 2024factForm ADV
→ P••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 18, 2010 to Jan 21, 2019factForm ADV
→ F•••••••• D•••••• L•••Registered adviser

Dated events

Occurred
Nov 21, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f86d5e0-a7d6-7fce-a970-dc9afb52dd5f
First observed: May 17, 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.