DFX Intelligence

M••••••• M••••••• E••: 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 / WealthAdvisordual registered (broker-dealer)23 years in industry

M••••••• M••••••• E••

Advisor at L•• F•••••••• L••

••• Locked

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:fb33b5da-1e11-8011-fea3-b4bb3fd871db

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Jan 28, 2004 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: Jun 19, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 10

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 19, 2026	n/a	yes	ONTARIO, CA\|CORONA, CA\|REDLANDS, CA	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	May 23, 2023	Apr 11, 2025	no	Laguna Hills, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	L•• F•••••••• L••	Apr 11, 2025	May 19, 2026	403	Firm change after gap	Ibd to ibd
M••••••••• C••••••• L••	C••• F•••••••• S•••••••• L•••	Apr 17, 2023	May 23, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
42132:6413:CA:2025-04-04	Apr 11, 2025	May 19, 2026	LAGUNA HILLS, CA	Firm change after gap

Relationships

Registered with (10)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 19, 2026 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
May 23, 2023 to Apr 11, 2025factForm ADV
→ M••••••••• C••••••• L••Registered adviserregistration: previous registration
Dec 15, 2020 to Apr 17, 2023factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Apr 11, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb33b5da-1e11-8011-fea3-b4bb3fd871db
First observed: Jan 28, 2004
Last observed: Sep 15, 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.