DFX Intelligence

R••••• G••••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

R••••• G••••• K••••••••

Advisor at L•• F•••••••• L••

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:b5ca04e8-0b1a-8830-bc77-b9a4695ce7df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Sep 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: Jan 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 6, 2024	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
O•••• F•• I•••	Former SEC adviser	Sep 9, 2009	Nov 18, 2024	no	WESTLAKE VILLAGE, CA\|WESTLAKE VILLAGE, CA\|IRVINE, CA\|LA JOLLA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	L•• F•••••••• L••	Nov 18, 2024	Nov 6, 2024	-12	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
3978:6413:CA:2024-11-07	Nov 18, 2024	Nov 6, 2024	LA JOLLA, CA	Firm change

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 6, 2024 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Sep 9, 2009 to Nov 18, 2024factForm ADV

Dated events

Occurred
Nov 18, 2024
Advisor changed firm
R••••• G••••• K•••••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-11-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5ca04e8-0b1a-8830-bc77-b9a4695ce7df
First observed: Sep 9, 2009
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.