G••••• H• E••••

Advisor at L•• F•••••••• L••

NOVATO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cc924a03-db6b-af74-1970-0192e066d398

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 23, 2008 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: Jun 20, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	May 15, 2025	n/a	yes	NOVATO, CA	Current employment
S••••••• P•••••• F••••••••• L••	Former SEC adviser	Apr 5, 2017	May 15, 2025	no	LARKSPUR, CA\|REDWOOD, CA\|SAN DIEGO, CA\|SAN RAFEAL, CA\|MILL VALLEY, CA\|SAN RAFAEL, CA\|SAN FRANCISCO, CA\|SAN ANSELMO, CA\|SAN RAFAEL, CA\|SAN RAFAEL, CA\|SAUSOLITO, CA\|NOVATO, CA\|MILL VALLEY, CA\|LIVERMORE, CA\|LIVERMORE, CA\|MARTINEZ, CA\|PLEASANTON, CA\|SACRAMENTO, CA\|RANCHO CORDOVA, CA\|WALNUT CREEK, CA\|SACRAMENTO, CA\|Concord, CA\|PLEASANTON, CA\|VACAVILLE, CA\|WALNUT CREEK, CA\|Concord, CA\|BENICIA, CA\|GRASS VALLEY, CA\|FAIRFIELD, CA\|FAIRFIELD, CA\|VALLEJO, CA\|MARTINEZ, CA\|PENN VALLEY, CA\|ROHNERT PARK, CA\|PETALUMA, CA\|PETALUMA, CA\|AMERICAN CANYON, CA\|SANTA ROSA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• P•••••• F••••••••• L••	L•• F•••••••• L••	May 15, 2025	May 15, 2025	0	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S••••••• P•••••• F••••••••• L••	Apr 5, 2017	Apr 5, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
127787:6413:CA:2025-05-15	May 15, 2025	May 15, 2025	SANTA ROSA, CA	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ S••••••• P•••••• F••••••••• L••Registered adviserregistration: previous registration
Apr 5, 2017 to May 15, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Mar 7, 2011 to Apr 5, 2017factForm ADV
→ M••••• S••••••

Dated events

Occurred
May 15, 2025
Advisor changed firm
G••••• H• E•••• left S••••••• P•••••• F••••••••• L•• for L•• F•••••••• L•• (registered 2025-05-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc924a03-db6b-af74-1970-0192e066d398
First observed: Jun 23, 2008
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.