DFX Intelligence

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

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

S•••••• Y••• C••

Advisor at L•• F•••••••• L••

BREA, CA | LONG BEACH, CA

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Search this name across graphsid dfx:ria:b82655d2-b5b9-11b3-4f50-7bdcb246170c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2007 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 24, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 14derivedfrom 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	Jul 25, 2012	n/a	yes	BREA, CA\|LONG BEACH, CA	Current employment
E••••• J••••	National bd RIA	Mar 13, 2007	Jul 27, 2012	no	BREA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	L•• F•••••••• L••	Jul 27, 2012	Jul 25, 2012	-2	Firm change	Other

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 25, 2012 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Mar 13, 2007 to Jul 27, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b82655d2-b5b9-11b3-4f50-7bdcb246170c
First observed: Mar 13, 2007
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.