DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

C••••••••• P•••• L•••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:0484e963-ef43-891c-88c6-1943d6a53b09

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 8, 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: Feb 21, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Oct 28, 2019	n/a	yes	ROCK HILL, SC\|WARWICK, NY\|PLEASANTVILLE, NY\|BOHEMIA, NY	Current employment
N••••••••• S••••••••• L••	No RAUM reported	Nov 8, 2011	Sep 11, 2019	no	Scotia, NY\|SCOTIA, NY\|WHITE PLAINS, NY\|ROCKY HILL, CT\|Scotia, NY\|BEDFORD, NH\|NEWTON, NH\|COLUMBUS, OH\|BROOKLYN, NY\|WARWICK, NY\|WASHINGTONVILLE, NY\|OCEANSIDE, NY\|BETHPAGE, NY\|LINDENHURST, NY\|Long Island City, NY\|HUNTINGTON STATION, NY\|PLEASANTVILLE, NY\|Pleasantville, NY\|Huntington, NY\|NAUGATUCK, CT\|Stratford, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• S••••••••• L••	L•• F•••••••• L••	Sep 11, 2019	Oct 28, 2019	47	Firm change	Other

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 28, 2019 to presentfactForm ADV
→ N••••••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 8, 2011 to Sep 11, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0484e963-ef43-891c-88c6-1943d6a53b09
First observed: Nov 8, 2011
Last observed: Sep 15, 2026 7 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.