DFX Intelligence

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

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

R•••• B••••• L•••••

Advisor at L•• F•••••••• L••

THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:ca994784-81b1-c502-0b86-b00ba8c63696

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 2, 1998 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: Aug 2, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 30, 2020	n/a	yes	THOUSAND OAKS, CA	Current employment
M••••• S••••••	Wirehouse	Sep 2, 2009	Nov 25, 2020	no	OXNARD, CA\|THOUSAND OAKS, CA\|Westlake Village, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	L•• F•••••••• L••	Nov 25, 2020	Nov 30, 2020	5	Firm change	Wirehouse to ibd
G••• C•••• S••••••••• I•••	M••••• S••••••	Aug 21, 2009	Sep 2, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:6413:CA:2020-11-25	Nov 25, 2020	Nov 30, 2020	WESTLAKE VILLAGE, CA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 30, 2020 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Sep 2, 2009 to Nov 25, 2020factForm ADV
→ G••• C•••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 26, 2003 to Aug 21, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca994784-81b1-c502-0b86-b00ba8c63696
First observed: Nov 2, 1998
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.