DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

M•••••• S•••• P••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:f0514027-1c1d-299a-9d48-cfb611d35411

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 16, 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 15, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Mar 25, 2024	n/a	yes	SAN DIEGO, CA\|Clayton, NC\|CLAYTON, NC	Current employment
O•••• F•• I•••	Former SEC adviser	Aug 1, 2014	Mar 27, 2024	no	CLAYTON, NC\|RALEIGH, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	L•• F•••••••• L••	Mar 27, 2024	Mar 25, 2024	-2	Firm change	Ibd to ibd
W••••••• F•••••••• S•••••••• I•••	O•••• F•• I•••	Aug 8, 2014	Aug 1, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
3870:6413:NC:2024-03-26	Mar 27, 2024	Mar 25, 2024	RALEIGH, NC	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 25, 2024 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Aug 1, 2014 to Mar 27, 2024factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 3, 2008 to Aug 8, 2014factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Mar 27, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0514027-1c1d-299a-9d48-cfb611d35411
First observed: Dec 16, 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.