DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialistdual registered (broker-dealer)28 years in industry

C•••••••• A•••• H•••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:0a4ae56d-6476-d436-af18-4be0b2501096

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 18, 2013 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: Jun 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Jul 7, 2026	n/a	yes	WILLISTON, VT\|Williston, VT\|SAN DIEGO, CA\|Saratoga Springs, NY	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Apr 18, 2013	Jul 7, 2026	no	SCHAGHTICOKE, NY\|NAPLES, FL\|WESTMINSTER STATION, VT\|SARATOGA SPRINGS, NY\|ESSEX JUNCTION, VT\|COLCHESTER, VT\|WALPOLE, NH\|WILLISTON, VT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	L•• F•••••••• L••	Jul 7, 2026	Jul 7, 2026	0	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 7, 2026 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 18, 2013 to Jul 7, 2026factForm ADV

Dated events

Occurred
Jul 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a4ae56d-6476-d436-af18-4be0b2501096
First observed: Apr 18, 2013
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.