DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

L••••• M••••• C•••••••

Advisor at W•••• F•••• A•••••••

LA JOLLA, CA | RENO, NV

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jan 26, 2007 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 1, 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: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jul 24, 2026	n/a	yes	LA JOLLA, CA\|RENO, NV	Current employment
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Jun 26, 2026	Jul 27, 2026	no	MORRISTOWN, NJ\|Carlsbad, CA\|MORRISTOWN, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	M•••••• A•••••• N••••••	Aug 17, 2026	Dec 1, 2020	-2,085	Firm change after gap	Ibd to RIA
P•••••• A•••••• G••••• L••	W•••• F•••• A•••••••	Jul 27, 2026	Jul 24, 2026

Relationships

Registered with (8)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Jul 24, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 7, 2017 to Aug 17, 2026factForm ADV
→ P•••••• A•••••• G••••• L••Registered adviserregistration: previous registration
Jun 26, 2026 to Jul 27, 2026factForm ADV
→ M•••••• A•••••• N••••••

Dated events

Order

Occurred
27 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
17 Aug 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 26, 2007
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.