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S••••• M••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

S••••• M••• R•••••

Advisor at L•• F•••••••• L••

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:d5e0836f-29ac-11d9-a4d8-0d53057d24c0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jun 24, 2020 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: Dec 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Oct 6, 2025	n/a	yes	WALNUT CREEK, CA	Current employment
E••••• A••••••• L••	Independent wealth	Jan 22, 2024	Oct 28, 2024	no	WALNUT CREEK, CA

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
E••••• A••••••• L••	L•• F•••••••• L••	Oct 28, 2024	Oct 6, 2025	343	Firm change	RIA to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	E••••• A••••••• L••	Dec 19, 2023

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 6, 2025 to presentfactForm ADV
→ E••••• A••••••• L••Registered adviserregistration: previous registration
Jan 22, 2024 to Oct 28, 2024factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Apr 10, 2023 to Dec 19, 2023factForm ADV
→ C••• F•••••••• S•••••••• L•••

Dated events

Occurred
Oct 28, 2024
Advisor changed firm
S••••• M••• R••••• left E••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-10-06)
Form ADVobserved 7 days ago
Occurred
Dec 19, 2023
Advisor changed firm
S••••• M••• R••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••• A••••••• L•• (registered 2024-01-22)
Form ADVobserved 7 days ago
Occurred
Jun 27, 2022
Advisor changed firm
S••••• M••• R••••• left C••• F•••••••• S•••••••• L••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5e0836f-29ac-11d9-a4d8-0d53057d24c0
First observed: Jun 24, 2020
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.