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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

D•••• A••••• A••••••

Advisor at L•• F•••••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:bbe9ccc9-2e53-67a7-b6c9-980aa3348ad0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 31, 1993 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: Dec 3, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Jul 6, 2023	n/a	yes	HOUSTON, TX	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 8, 2010	Jul 17, 2023	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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Jul 17, 2023	Jul 6, 2023	-11	Firm change	Wirehouse to ibd
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 21, 2010

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:6413:TX:2023-07-17	Jul 17, 2023	Jul 6, 2023	HOUSTON, TX	Firm change

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 6, 2023 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 8, 2010 to Jul 17, 2023factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 21, 2010factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Occurred
Jul 17, 2023
Advisor changed firm
D•••• A••••• A•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2023-07-06)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbe9ccc9-2e53-67a7-b6c9-980aa3348ad0
First observed: Jul 31, 1993
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.