DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

R••••• V•••••• S••••

Advisor at L•• F•••••••• L••

W•••LAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:d9c25755-7543-03ba-d204-0d730b50a6e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2001 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 public••• Locked
Industry start: Mar 22, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 5, 2025	n/a	yes	W•••LAKE VILLAGE, CA	Current employment
W•••••• I••••••••• S•••••••••	Former SEC adviser	Dec 15, 2008	Jun 5, 2025	no	Westlake Village, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• I••••••••• S•••••••••	L•• F•••••••• L••	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
F•••••••• W••• G••••	W•••••• I••••••••• S•••••••••	Dec 16, 2008	Dec 15, 2008

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ W•••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Dec 15, 2008 to Jun 5, 2025factForm ADV
→ F•••••••• W••• G••••Registered adviserregistration: previous registration
Mar 14, 2001 to Dec 16, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9c25755-7543-03ba-d204-0d730b50a6e2
First observed: Mar 14, 2001
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.