DFX Intelligence

M•••••• S••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

M•••••• S••••• W••••

Advisor at L•• F•••••••• L••

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:ee6c6924-4c72-c8e5-82cf-f0b2345699bd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 2, 1998 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 public••• Locked
Industry start: Feb 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Mar 6, 2025	n/a	yes	SACRAMENTO, CA	Current employment
I• A••••••• S•••••••• I•••	Former SEC adviser	Nov 6, 2012	Mar 6, 2025	no	SACRAMENTO, CA\|BEDMINSTER, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I• A••••••• S•••••••• I•••	L•• F•••••••• L••	Mar 6, 2025	Mar 6, 2025	0	Bulk transfer	Ibd to ibd
L•• F•••••••• L••	I• A••••••• S•••••••• I•••	Nov 9, 2012	Nov 6, 2012

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 19, 2003 to Nov 9, 2012factForm ADV
→ I• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 6, 2012 to Mar 6, 2025factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Nov 2, 1998 to Nov 26, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee6c6924-4c72-c8e5-82cf-f0b2345699bd
First observed: Nov 2, 1998
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.