DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

D•••••• E••••• F••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:c1de309d-cbab-6cbb-5a42-37d6483577c7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 24, 1998 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: Jan 24, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Sep 4, 2007	n/a	yes	TORRANCE, CA\|NEWPORT BEACH, CA\|LAGUNA NIGUEL, CA	Current employment
P•••• W••••• M••••••••• I•••	n/a	Jun 27, 2008	Dec 4, 2023	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• W••••• M••••••••• I•••	n/a	Dec 4, 2023	n/a	n/a	Departure no registered destination	Departure
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	Jul 3, 2007	Sep 4, 2007	63

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 8, 2006 to Mar 8, 2007factForm ADV
→ P•••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Jun 27, 2008 to Dec 4, 2023factForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 16, 2007 to Jul 3, 2007factForm ADV
→ C••••••• I••••••••• S•••••••Registered adviserregistration: previous registration

Dated events

Occurred
Dec 4, 2023
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c1de309d-cbab-6cbb-5a42-37d6483577c7
First observed: Aug 24, 1998
Last observed: Sep 15, 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.