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B•••• N••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)35 years in industry

B•••• N••• L•••••

Advisor at L•• F•••••••• L••

SANTA ANA, CA

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Search this name across graphsid dfx:ria:fd5101ba-2b56-91e6-f653-47069edcd729

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2002 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: Oct 29, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 26, 2018	n/a	yes	SANTA ANA, CA	Current employment
S••••••• I••••••••• I•••	Former SEC adviser	May 13, 2016	Jul 2, 2018	no	COSTA MESA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• I•••	L•• F•••••••• L••	Jul 2, 2018	Jun 26, 2018	-6	Firm change	Ibd to RIA
T••••••••• F•••••••• A•••••••• L••	S••••••• I••••••••• I•••	May 13, 2016	May 13, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
468:6413:CA:2018-07-02	Jul 2, 2018	Jun 26, 2018	COSTA MESA, CA	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 26, 2018 to presentfactForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
May 13, 2016 to Jul 2, 2018factForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 4, 2009 to May 13, 2016factForm ADV
→ T••••••••• F•••••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd5101ba-2b56-91e6-f653-47069edcd729
First observed: Oct 23, 2002
Last observed: Sep 14, 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.