DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

R••• B•••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:c014938d-7fda-f946-337c-81466418ca74

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

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 21, 2013 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: Sep 9, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 7, 2023	n/a	yes	BROOMFIELD, CO\|Westminster, CO\|SAN DIEGO, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jul 13, 2020	Sep 8, 2023	no	Boulder, CO\|Brighton, CO\|BROOMFIELD, CO\|Westminster, CO\|Westminster, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	L•• F•••••••• L••	Sep 8, 2023	Sep 7, 2023	-1	Firm change	Ibd to ibd
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	U••• B•••••• I••••••••• I•••	Jul 17, 2020	Jul 13, 2020

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 7, 2023 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 13, 2020 to Sep 8, 2023factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 4, 2015 to Jul 17, 2020factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••

Dated events

Occurred
Sep 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c014938d-7fda-f946-337c-81466418ca74
First observed: Oct 21, 2013
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.