DFX Intelligence

I•• A••••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

I•• A••••• C•••••

Advisor at L•• F•••••••• L••

GLENDALE, CA

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Search this name across graphsid dfx:ria:f9cae269-a478-2bb6-a831-b52fa77ff4cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Feb 12, 2003 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: Nov 1, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jul 11, 2016	n/a	yes	GLENDALE, CA	Current employment
C••••••••• F•••••••• P•••••••• I•••	State registered	Sep 21, 2023	Nov 3, 2025	no	Glendale, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• P•••••••• I•••	n/a	Nov 3, 2025	n/a	n/a	Departure no registered destination	Departure
C••••••••• F•••••••• P•••••••	L•• F•••••••• L••	Sep 22, 2023	Jul 11, 2016	-2,629

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 11, 2016 to presentfactForm ADV
→ C••••••••• F•••••••• P•••••••• I•••Registered adviserregistration: previous registration
Sep 21, 2023 to Nov 3, 2025factForm ADV
→ C••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
Jan 25, 2016 to Sep 22, 2023factForm ADV
→ U••• F•••••••• A•••••••Registered adviser

Dated events

Occurred
Nov 3, 2025
A•••••• departure
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 22, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f9cae269-a478-2bb6-a831-b52fa77ff4cf
First observed: Feb 12, 2003
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.