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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

R••••• W•••••• S•••

Advisor at L•• F•••••••• L••

SAN DIEGO, CA | CARMEL, IN | Carmel, IN

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:d82c1208-d7fb-4b25-6462-c470336c25b6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 1
Observed: Nov 6, 2009 to Sep 15, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

R••••• W•••••• S•••

same person, same CRD on Schedule A · confidence 95% · family precision 100%

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: Apr 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom 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	Aug 20, 2026	n/a	yes	Carmel, IN\|SAN DIEGO, CA\|CARMEL, IN	Current employment
C•••••• A•••••••	Bd affiliated wealth	Jun 4, 2012	Aug 21, 2026	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
C•••••• A•••••••	L•• F•••••••• L••	Aug 21, 2026	Aug 20, 2026	-1	Firm change	Ibd to ibd
L•••••• I•••••••••	C•••••• A•••••••	Aug 21, 2026

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
519:162200:FL:2026-08-21	Aug 21, 2026	Jun 4, 2012	PALM BEACH GARDENS, FL	Firm change after gap
162200:6413:IN:2026-08-21	Aug 21, 2026	Aug 20, 2026	INDIANAPOLIS, IN	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 20, 2026 to presentfactForm ADV
→ C•••••• A•••••••Registered adviserregistration: previous registration
Jun 4, 2012 to Aug 21, 2026factForm ADV
→ L•••••• I•••••••••Registered adviserregistration: previous registration
Jun 1, 2012 to Aug 21, 2026factForm ADV
→ C••••••••• A•••••••• I••

Dated events

Occurred
Aug 21, 2026
Advisor changed firm
R••••• W•••••• S••• left C•••••• A••••••• for L•• F•••••••• L•• (registered 2026-08-20)
Form ADVobserved 7 days ago
Occurred
Aug 21, 2026
Advisor changed firm
R••••• W•••••• S••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2012-06-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d82c1208-d7fb-4b25-6462-c470336c25b6
First observed: Nov 6, 2009
Last observed: Sep 15, 2026 7 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.