DFX Intelligence

R••• D••••• O••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

R••• D••••• O••••

Advisor at L•• F•••••••• L••

ORCUTT, CA | SAN LUIS OBISPO, CA

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Search this name across graphsid dfx:ria:ee72584b-b25c-0ac7-c28b-f96d867aec9e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 17, 2009 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: Jan 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Apr 13, 2007	n/a	yes	SAN LUIS OBISPO, CA\|ORCUTT, CA\|SAN LUIS OBISPO, CA	Current employment
C••• W••••• M•••••••••	State registered	Oct 14, 2010	Mar 21, 2018	no	SAN LUIS OBISPO, CA\|San Luis Obispo, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• W••••• M•••••••••	n/a	Mar 21, 2018	n/a	n/a	Departure no registered destination	Departure
C•••••• C•••• F•••••••• P•••••••• I•••	C••• W••••• M•••••••••	Dec 31, 2009	Oct 14, 2010	287

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 13, 2007 to presentfactForm ADV
→ C••• W••••• M•••••••••Registered adviserregistration: previous registration
Oct 14, 2010 to Mar 21, 2018factForm ADV
→ C•••••• C•••• F•••••••• P•••••••• I•••Registered adviserregistration: previous registration
Sep 17, 2009 to Dec 31, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ee72584b-b25c-0ac7-c28b-f96d867aec9e
First observed: Sep 17, 2009
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.