DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)41 years in industry

C•••• A••• C•••

Advisor at L•• F•••••••• L••

ORO VALLEY, AZ

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Search this name across graphsid dfx:ria:fd5d3577-4181-6bf4-c271-991df3923d02

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 19, 2018 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: Apr 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Mar 10, 2023	n/a	yes	ORO VALLEY, AZ	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jul 19, 2018	Mar 13, 2023	no	ORO VALLEY, AZ\|ORO VALLEY, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	L•• F•••••••• L••	Mar 13, 2023	Mar 10, 2023	-3	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 10, 2023 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 19, 2018 to Mar 13, 2023factForm ADV

Dated events

Occurred
Mar 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd5d3577-4181-6bf4-c271-991df3923d02
First observed: Jul 19, 2018
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.