DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

C••••• A•• S••••••

Advisor at L•• E••••••••• L••

IRVINE, CA

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Search this name across graphsid dfx:ria:cfa0f351-1354-9ae4-8eb1-db6e935b4a42

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2004 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•• E••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 17, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• E••••••••• L••	Bd affiliated wealth	Nov 14, 2024	n/a	yes	IRVINE, CA	Current employment
P•••• S••••••••• L••	No RAUM reported	Apr 7, 2022	Nov 14, 2024	no	IRVINE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	L•• E••••••••• L••	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
W•••• F•••• A•••••••	P•••• S••••••••• L••	Aug 10, 2020	Apr 7, 2022

Relationships

Registered with (7)

→ L•• E••••••••• L••Registered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Apr 7, 2022 to Nov 14, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 9, 2020 to Aug 10, 2020factForm ADV
→ B••••• W••••• P•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cfa0f351-1354-9ae4-8eb1-db6e935b4a42
First observed: Jun 15, 2004
Last observed: Sep 14, 2026 9 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.