DFX Intelligence

A•• M•••• T••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

A•• M•••• T••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:aef6cb3c-144c-9d00-245b-f6c36ef1b59f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 19, 2007 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: Oct 9, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Apr 26, 2024	n/a	yes	Redding, CA\|SAN DIEGO, CA\|REDDING, CA	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	May 6, 2013	May 9, 2024	no	REDDING, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	L•• F•••••••• L••	May 9, 2024	Apr 26, 2024	-13	Firm change	Ibd to ibd
P•••••• F•••••••• G•••• I••	S•••••• N••••••• • C••••••• I•••••••••	Apr 29, 2013	May 6, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
793:6413:CA:2024-05-09	May 9, 2024	Apr 26, 2024	REDDING, CA	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 26, 2024 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
May 6, 2013 to May 9, 2024factForm ADV
→ P•••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Oct 19, 2007 to Apr 29, 2013factForm ADV

Dated events

Occurred
May 9, 2024
Advisor changed firm
A•• M•••• T•••••• left S•••••• N••••••• • C••••••• I••••••••• for L•• F•••••••• L•• (registered 2024-04-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aef6cb3c-144c-9d00-245b-f6c36ef1b59f
First observed: Oct 19, 2007
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.