DFX Intelligence

D••• A•••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

D••• A•••• B••••

Advisor at L•• F•••••••• L••

••• Locked

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:a3a054f4-85a4-6129-c389-f9bc4b4090d5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2008 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: May 5, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	Jul 15, 2021	n/a	yes	Griffith, IN\|GRIFFITH, IN\|SAN DIEGO, CA	Current employment
C••••• A••••••• L••	Former SEC adviser	Oct 3, 2016	Jul 16, 2021	no	GRIFFITH, IN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A••••••• L••	L•• F•••••••• L••	Jul 16, 2021	Jul 15, 2021	-1	Firm change	Ibd to ibd
I•••••••• C•••••• A•••••••	C••••• A••••••• L••	Oct 3, 2016	Oct 3, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
10299:6413:IN:2021-07-15	Jul 16, 2021	Jul 15, 2021	GRIFFITH, IN	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 15, 2021 to presentfactForm ADV
→ C••••• A••••••• L••Registered adviserregistration: previous registration
Oct 3, 2016 to Jul 16, 2021factForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Jul 18, 2013 to Oct 3, 2016factForm ADV
→ F•••• T•••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3a054f4-85a4-6129-c389-f9bc4b4090d5
First observed: Mar 20, 2008
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.