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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

C•••••• P•••••• P•••••••••

Advisor at L•• F•••••••• L••

CORRALES, NM | ALAMO, CA

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Search this name across graphsid dfx:ria:d045f867-f04c-734e-a0a0-1354569a2b35

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 29, 2011 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 25, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 4, 2025	n/a	yes	CORRALES, NM\|ALAMO, CA	Current employment
A•••••••• W••••• A•••••••	Former SEC adviser	Dec 12, 2017	May 30, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• W••••• A•••••••	L•• F•••••••• L••	May 30, 2025	Jun 4, 2025	5	Firm change	RIA to ibd
F•••• A••••• A••••••• S•••••••• I•••	A•••••••• W••••• A•••••••	Apr 2, 2015

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 4, 2025 to presentfactForm ADV
→ A•••••••• W••••• A•••••••Registered adviserregistration: previous registration
Dec 12, 2017 to May 30, 2025factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2012 to Apr 2, 2015factForm ADV
→ F•••• A••••• S••••••••• I•••

Dated events

Occurred
May 30, 2025
Advisor changed firm
C•••••• P•••••• P••••••••• left A•••••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-06-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d045f867-f04c-734e-a0a0-1354569a2b35
First observed: Nov 29, 2011
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.