DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

L•••• L• W••••

Advisor at C••••••••• F•••••••• N••••••

Albuquerque, NM

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:dba2a961-dab8-c346-384c-753574d9c61b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 22, 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 19, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
C••••••••• F•••••••• N••••••	National bd RIA	Dec 7, 2023	n/a	yes	Albuquerque, NM	Current employment
M••••• A•••••••• L••	Bd affiliated wealth	Apr 25, 2018	Dec 7, 2023	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
M••••• A•••••••• L••	C••••••••• F•••••••• N••••••	Dec 7, 2023	Dec 7, 2023	0	Firm change	Ibd to ibd
C•••• A•••••••	M••••• A•••••••• L••	Jul 11, 2018

Relationships

Registered with (6)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Dec 7, 2023 to presentfactForm ADV
→ M••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 25, 2018 to Dec 7, 2023factForm ADV
→ C•••• A•••••••Registered adviserregistration: previous registration
Feb 8, 2017 to Jul 11, 2018factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Dec 7, 2023
Advisor changed firm
L•••• L• W•••• left M••••• A•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2023-12-07)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dba2a961-dab8-c346-384c-753574d9c61b
First observed: Feb 22, 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.