DFX Intelligence

M••• O••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

M••• O••• G•••••••

Advisor at L•• F•••••••• L••

CERRITOS, CA | LA HABRA, CA

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Search this name across graphsid dfx:ria:e0234110-d339-c5d9-9090-559ce11b670c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 14, 2003 to Sep 15, 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: Apr 9, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 18, 2022	n/a	yes	CERRITOS, CA\|LA HABRA, CA	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Jan 22, 2007	May 18, 2022	no	TORRANCE, CA\|LONG BEACH, CA\|LONG BEACH, CA\|SANTA ANA, CA\|GARDEN GROVE, CA\|GARDEN GROVE, CA\|CYPRESS, CA\|LONG BEACH, CA\|WAVERLY, IA\|CYPRESS, CA\|ANAHEIM, CA\|CERRITOS, CA\|ANAHEIM, CA\|LA HABRA, CA\|CYPRESS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
C••• F•••••••• S•••••••• L•••	C••• B•••••••• S•••••••• I•••	Jan 24, 2007	Jan 22, 2007

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 18, 2022 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 22, 2007 to May 18, 2022factForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Oct 2, 2006 to Jan 24, 2007factForm ADV
→ E•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0234110-d339-c5d9-9090-559ce11b670c
First observed: Apr 14, 2003
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.