DFX Intelligence

M•••••• D•••• C•••: 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)15 years in industry

M•••••• D•••• C•••

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:fd3423e8-d551-92df-de54-f010c493f9db

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2011 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: Mar 16, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Apr 29, 2021	n/a	yes	ALBUQUERQUE, NM\|SAN DIEGO, CA\|Albuquerque, NM	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 13, 2018	May 14, 2021	no	BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	L•• F•••••••• L••	May 14, 2021	Apr 29, 2021	-15	Firm change	Ibd to ibd
S•••••••• A••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jul 13, 2018	Jul 13, 2018

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 29, 2021 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to May 14, 2021factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Oct 14, 2014 to Jul 13, 2018factForm ADV
→ T•••••••• I••••••••• M••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd3423e8-d551-92df-de54-f010c493f9db
First observed: Mar 18, 2011
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.