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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

C••••• W••••••

Advisor at L•• F•••••••• L••

SHERMAN OAKS, CA

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Search this name across graphsid dfx:ria:ad917ebc-15be-339f-93d1-756c9a6f93df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 28, 1998 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 11, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 12derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Oct 31, 2013	n/a	yes	SHERMAN OAKS, CA	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jan 2, 2009	Nov 1, 2013	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
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	L•• F•••••••• L••	Nov 1, 2013	Oct 31, 2013	-1	Firm change	Other
R•••••• J•••• F•••••••• S•••••••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Jan 2, 2009

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 31, 2013 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 2, 2009 to Nov 1, 2013factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 28, 1998 to Jan 2, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad917ebc-15be-339f-93d1-756c9a6f93df
First observed: Jul 28, 1998
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.