DFX Intelligence

C•••••• N•••••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

C•••••• N•••••• M••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:eb6faa28-01a4-12dc-bcf3-a0f8f85fdb6f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: May 27, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Sep 30, 2025	n/a	yes	NOVATO, CA\|Novato, CA\|SAN DIEGO, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Mar 3, 2010	Oct 2, 2025	no	Novato, CA\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	L•• F•••••••• L••	Oct 2, 2025	Sep 30, 2025	-2	Bulk transfer	Ibd to ibd
N•• A••••••• S••••••• I••	O•••• W•••••• I•••	Sep 29, 2025	Mar 3, 2010

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 30, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Mar 3, 2010 to Oct 2, 2025factForm ADV
→ N•• A••••••• S••••••• I••Registered adviserregistration: previous registration
Mar 2, 2010 to Sep 29, 2025factForm ADV
→ P•••••••• I•••••••• O• A••••••

Dated events

Occurred
Sep 29, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb6faa28-01a4-12dc-bcf3-a0f8f85fdb6f
First observed: Jul 8, 1997
Last observed: Sep 15, 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.