DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

M•••• C•••••••• L•••

Advisor at L•• F•••••••• L••

SAN JOSE, CA | FRESNO, CA

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Search this name across graphsid dfx:ria:ad76cbb6-95b6-002a-9445-c862f9276f0f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2009 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: Dec 30, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 26, 2014	n/a	yes	FRESNO, CA\|SAN JOSE, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 8, 2009	Dec 31, 2013	no	VISALIA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• S••••••••• C••••	L•• F•••••••• L••	Sep 8, 2009	Sep 8, 2009	0	Firm change	Other

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2009 to Dec 31, 2013factForm ADV
→ A••••••••• S••••••••• C••••Registered adviserregistration: previous registration
Mar 9, 2009 to Sep 8, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad76cbb6-95b6-002a-9445-c862f9276f0f
First observed: Mar 9, 2009
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.