DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

S•••• K•••••• L•••••

Advisor at W•••• F•••• A•••••••

IRVINE, CA | FULLERTON, CA

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Search this name across graphsid dfx:ria:ef529ccf-8a45-618d-89c7-fafb06088b3b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 10, 2003 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: Feb 7, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Sep 26, 2024	n/a	yes	IRVINE, CA\|FULLERTON, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Apr 26, 2006	Oct 8, 2024	no	WESTLAKE VILLAGE, CA\|UPLAND, CA\|BREA, CA\|RANCHO CUCAMONGA, CA\|HUNTINGTON BEACH, CA\|FOUNTAIN VALLEY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	W•••• F•••• A•••••••	Oct 8, 2024	Sep 26, 2024	-12	Firm change	Ibd to wirehouse
A••••••••• F•••••••• S•••••••• L••	L•• F•••••••• L••	Apr 24, 2006	Apr 26, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:19616:CA:2024-09-26	Oct 8, 2024	Sep 26, 2024	FOUNTAIN VALLEY, CA	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Sep 26, 2024 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 26, 2006 to Oct 8, 2024factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 10, 2003 to Apr 24, 2006factForm ADV

Dated events

Occurred
Oct 8, 2024
Advisor changed firm
S•••• K•••••• L••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-09-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef529ccf-8a45-618d-89c7-fafb06088b3b
First observed: Feb 10, 2003
Last observed: Sep 15, 2026 7 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.