R••••• G••••••

Advisor at L•• F•••••••• L••

SAN JOSE, CA

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:a5802977-4f9f-cb8e-8ed0-ad942917adb8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 14, 2002 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•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 13, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2017	n/a	yes	SAN JOSE, CA	Current employment
T•• P••••••• N••••••• I•••	Former SEC adviser	Jul 6, 2016	Dec 31, 2017	no	San Jose, CA\|TEMECULA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• P••••••• N••••••• I•••	L•• F•••••••• L••	Dec 31, 2017	Nov 29, 2017	-32	Firm change after gap	Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	T•• P••••••• N••••••• I•••	Nov 29, 2017	Jul 6, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
108355:6413:CA:2017-12-31	Dec 31, 2017	Nov 29, 2017	TEMECULA, CA	Firm change after gap
29604:108355:CA:2017-11-29	Nov 29, 2017	Jul 6, 2016	SAN JOSE, CA	Firm change after gap

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ T•• P••••••• N••••••• I•••Registered adviserregistration: previous registration
Jul 6, 2016 to Dec 31, 2017factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Mar 17, 2009 to Nov 29, 2017factForm ADV
→ W••• A•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5802977-4f9f-cb8e-8ed0-ad942917adb8
First observed: Aug 14, 2002
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.