DFX Intelligence

L•••••• S•••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor41 years in industry

L•••••• S•••• B•••••

Advisor at L••••••• F••••••••• I•••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:ad31f50f-306c-2b73-dfb1-4c982d7e3691

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 5, 2014 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••••••••• I•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jan 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• F••••••••• I•••	State registered	Feb 26, 2026	n/a	yes	NEWPORT BEACH, CA	Current employment
H••••• I••••••••• M••••••••• L••	Independent wealth	Nov 5, 2014	Feb 7, 2018	no	BERKELEY, CA\|CINCINNATI, OH\|Walnut Creek, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••• I••••••••• M••••••••• L••	L••••••• F••••••••• I•••	Feb 7, 2018	Feb 26, 2026	2,941	Firm change after gap	Other

Relationships

Registered with (2)

→ L••••••• F••••••••• I•••Registered adviserregistration: current employment
Feb 26, 2026 to presentfactForm ADV
→ H••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 5, 2014 to Feb 7, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad31f50f-306c-2b73-dfb1-4c982d7e3691
First observed: Nov 5, 2014
Last observed: Sep 14, 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.