DFX Intelligence

P•• J••• K••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

P•• J••• K••

Advisor at L•• F•••••••• L••

TORRANCE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f330a490-caaa-cae6-0a5d-4bbae7619cbe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Jul 28, 2005 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: Jul 26, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 4, 2024	n/a	yes	TORRANCE, CA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 13, 2024	Oct 9, 2024	no	Torrance, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	L•• F•••••••• L••	Oct 9, 2024	Oct 4, 2024	-5	Firm change	Ibd to ibd
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Sep 19, 2024	Sep 13, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:6413:CA:2024-10-08	Oct 9, 2024	Oct 4, 2024	TORRANCE, CA	Firm change
6413:105644:CA:2024-09-19	Sep 19, 2024	Sep 13, 2024	SAN DIEGO, CA	Firm change
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 16, 2023	GLENDALE, CA	Firm change

Relationships

Registered with (7)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 3, 2023 to Sep 19, 2024factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Sep 13, 2024 to Oct 9, 2024factForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Jan 16, 2023 to Oct 17, 2023factForm ADV
→ W••••• F•••••••• S•••••••• L••

Dated events

Occurred
Oct 9, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 6, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f330a490-caaa-cae6-0a5d-4bbae7619cbe
First observed: Jul 28, 2005
Last observed: Sep 14, 2026 9 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.