DFX Intelligence

S•••• N••••• L•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

S•••• N••••• L•••••••

Advisor at L•• F•••••••• L••

PASO ROBLES, CA | AVILA BEACH, CA

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Search this name across graphsid dfx:ria:d2092059-b32b-24df-c921-a7bc9b3a5730

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 11, 2005 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: Feb 10, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Jul 11, 2024	n/a	yes	PASO ROBLES, CA\|AVILA BEACH, CA	Current employment
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jan 13, 2012	Jul 16, 2024	no	ST. LOUIS, MO\|PASO ROBLES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• N••••••• • C••••••• I•••••••••	L•• F•••••••• L••	Jul 16, 2024	Jul 11, 2024	-5	Firm change	Ibd to ibd
M••••• S••••••	S•••••• N••••••• • C••••••• I•••••••••	Jan 19, 2012	Jan 13, 2012

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 11, 2024 to presentfactForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Jan 13, 2012 to Jul 16, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jan 19, 2012factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Occurred
Jul 16, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2092059-b32b-24df-c921-a7bc9b3a5730
First observed: Feb 11, 2005
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.