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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

L••• M••••••• R••••••

Advisor at A••••••• F••••••••• L•••

FOLSOM, CA | INDIANAPOLIS, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a058eaf8-2155-e721-c0ab-9b2e661827cd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Sep 15, 2017 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	May 30, 2025	n/a	yes	INDIANAPOLIS, IN\|FOLSOM, CA	Current employment
S••••• B•••• I••••••••• A•••••••• L••	Former SEC adviser	Jan 19, 2025	Sep 12, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• B•••• I••••••••• A•••••••• L••	A••••••• F••••••••• L•••	Sep 12, 2025	May 30, 2025	-105	Firm change after gap	RIA to ibd
J••• M••••• S••••••••• L••	S••••• B•••• I••••••••• A•••••••• L••	Dec 19, 2024

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
118739:111167:IN:2025-09-12	Sep 12, 2025	May 30, 2025	INDIANAPOLIS, IN	Firm change after gap

Relationships

Registered with (3)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
May 30, 2025 to presentfactForm ADV
→ S••••• B•••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 19, 2025 to Sep 12, 2025factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Feb 16, 2024 to Dec 19, 2024factForm ADV

Dated events

Occurred
Sep 12, 2025
Advisor changed firm
L••• M••••••• R•••••• left S••••• B•••• I••••••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2025-05-30)
Form ADVobserved 7 days ago
Occurred
Dec 19, 2024
Advisor changed firm
L••• M••••••• R•••••• left J••• M••••• S••••••••• L•• for S••••• B•••• I••••••••• A•••••••• L•• (registered 2025-01-19)
Form ADVobserved 7 days ago
Occurred
Feb 6, 2024
Advisor changed firm
L••• M••••••• R•••••• left S••••• B•••• I••••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-02-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a058eaf8-2155-e721-c0ab-9b2e661827cd
First observed: Sep 15, 2017
Last observed: Sep 15, 2026 7 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.