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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

A••••• A• Z••••••

Advisor at L•• F•••••••• L••

SAN RAMON, CA

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Search this name across graphsid dfx:ria:fd5a4bbf-9af9-25cb-9a4d-f7e389aad7ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 6, 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: Nov 18, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 1, 2020	n/a	yes	SAN RAMON, CA	Current employment
E• R•••• I••••••••• L••	Former SEC adviser	Sep 6, 2016	Nov 6, 2020	no	Walnut Creek, CA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|Seattle, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E• R•••• I••••••••• L••	L•• F•••••••• L••	Nov 6, 2020	Oct 1, 2020	-36	Bulk transfer	RIA to ibd
U•• F•••••••• S••••••• I•••	E• R•••• I••••••••• L••	Sep 13, 2016	Sep 6, 2016

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 1, 2020 to presentfactForm ADV
→ E• R•••• I••••••••• L••Registered adviserregistration: previous registration
Sep 6, 2016 to Nov 6, 2020factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Dec 6, 2002 to Sep 13, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd5a4bbf-9af9-25cb-9a4d-f7e389aad7ed
First observed: Dec 6, 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.