DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner20 years in industry

L•••• J••• K••••

Advisor at E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••

Santa Cruz, CA | MCLEAN, VA

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Search this name across graphsid dfx:ria:e18524b5-f305-0e76-c66f-3c0ef01c00e6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 9, 2007 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: E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 28, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••	Independent wealth	Apr 28, 2026	n/a	yes	MCLEAN, VA\|Santa Cruz, CA	Current employment
E•••••• A•••• M••••••••• L••	Former SEC adviser	Apr 9, 2007	Apr 23, 2026	no	CARMEL, CA\|Santa Cruz, CA\|CARMEL, CA\|Santa Cruz, CA\|Santa Cruz, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• A•••• M••••••••• L••	E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••	Apr 23, 2026	Apr 28, 2026	5	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
135188:340506:CA:2026-04-23	Apr 23, 2026	Apr 28, 2026	SANTA CRUZ, CA	Firm change

Relationships

Registered with (2)

→ E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Registered adviserregistration: current employment
Apr 28, 2026 to presentfactForm ADV
→ E•••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Apr 9, 2007 to Apr 23, 2026factForm ADV

Dated events

Occurred
Apr 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e18524b5-f305-0e76-c66f-3c0ef01c00e6
First observed: Apr 9, 2007
Last observed: Sep 14, 2026 9 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.