DFX Intelligence

D••• G••••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

D••• G••••• L••••••

Advisor at L•• F•••••••• L••

UTICA, NY

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Search this name across graphsid dfx:ria:04b79ed8-d505-2241-a8bf-d1e1ad1ef3f9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2015 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: Mar 25, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Jul 10, 2025	n/a	yes	UTICA, NY	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	Aug 10, 2017	Jul 10, 2025	no	Utica, NY\|ROME, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	L•• F•••••••• L••	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd
A••••••• G•••• F•••••••• S•••••••• L••	C•••••• G•••• • C• I••	Sep 29, 2017	Aug 10, 2017

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Aug 10, 2017 to Jul 10, 2025factForm ADV
→ A••••••• G•••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Dec 23, 2015 to Sep 29, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04b79ed8-d505-2241-a8bf-d1e1ad1ef3f9
First observed: Dec 23, 2015
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.