DFX Intelligence
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W••••• F•••••••• S•••••••
Practice brandDisclosed by a registered advisor· CA
DBA for LPL business
from the advisor's own disclosure
As of · the advisors' Form U4 disclosures and the public records linked below
- Registered advisors
- 3
- Public records
- 1
- Other people named
- hidden
- Formed
- 2018
first Form ADV filing
As of · the advisors' Form U4 disclosures and the public records linked below
What it doesHow this is writtenThe description comes from the named source: the advisor’s own disclosure, the company’s website, its SEC Form D industry group, or the NAICS code on an SBA loan. DFX does not restate a legal purpose clause and does not write a description it could not source.
in the words of the record named beside it
- Business
- DBA for LPL businessreportedthe advisor's own disclosure
- Type
- Practice brandderived
- Formed
- May 2, 2018reportedfirst Form ADV filing
Observed operations
figures a public record reports; nothing estimated
- Regulatory Aum
- $226MreportedForm ADV, Jul 27, 2022
- Advisory Staff
- 29reportedForm ADV, Jul 27, 2022
Recent activity
- Colleagues at one firm disclose itdate not printed
PeopleWhat these connections meanAdvisors are listed because each disclosed this company on their own Form U4. Other people are listed because a public record names them with it (an SEC Form D related person, a state registry principal). These are observed business connections. DFX does not know, and does not suggest, that any of them are an advisor’s clients.
registered advisors who disclosed it, and people other public records name
- S•••••• C••••• R••• · Role not statedregistered with L•• F•••••••• L••
2 more registered advisors name a company with this name in this state; their disclosures are not yet reviewed, so they are counted, not listed.
Related network
counts across the records on this page
- Registered advisors
- 3reportedself-disclosed
- Their firms
- 1derived
- Other people named
- hiddenreported
Sources and evidence
- Registered investment adviser (Form ADV)exact name, same statecrd: 125650 · city: ANAHEIM · name: W••••• F•••••••• S•••••••• L•• · raum total: 226085019 · iar employees: 29 · first filed at: 2018-05-02 · latest filed at: 2022-07-27