DFX Intelligence

Data Factory

M•••••• H•••••: 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 / WealthAdvisordual registered (broker-dealer)43 years in industry

M•••••• H•••••

Advisor at L•• F•••••••• L••

SAN MATEO, CA

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:dedb3ec8-7d12-876c-5962-98547e5e8070

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 29, 2002 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: Aug 1, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Jul 14, 2020	n/a	yes	SAN MATEO, CA\|SAN MATEO, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Feb 2, 2010	Jul 15, 2020	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
W•••• F•••• A•••••••	L•• F•••••••• L••	Jul 15, 2020	Jul 14, 2020	-1	Firm change	Wirehouse to ibd
C•••••••• G••••• M•••••• I•••	W•••• F•••• A•••••••	Feb 11, 2010

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 14, 2020 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 2, 2010 to Jul 15, 2020factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 29, 2007 to Feb 11, 2010factForm ADV
→ C••••••• I••••••••• S•••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dedb3ec8-7d12-876c-5962-98547e5e8070
First observed: Aug 29, 2002
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.