DFX Intelligence

D••••• P•••• F•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

D••••• P•••• F•••••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:0f704924-d90c-6e06-70d1-748d46f813a8

Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Aug 7, 2006 to Sep 22, 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: Dec 23, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Sep 21, 2026	n/a	yes	EAST SYRACUSE, NY\|East Syracuse, NY\|SAN DIEGO, CA	Current employment
A••••• A•• P••••••• S•••••••	Bd affiliated wealth	May 25, 2021	n/a	yes	SYRACUSE, NY\|Baldwinsville, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• A•• P••••••• S•••••••	L•• F•••••••• L••	Sep 18, 2026	Sep 21, 2026	3	Firm change	Ibd to ibd
M••••• S•••••• D• I•••	A••••• A•• P••••••• S•••••••	Mar 5, 2007	Mar 6, 2008

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 21, 2026 to presentfactForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Mar 6, 2008 to Sep 18, 2026factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Aug 7, 2006 to Mar 5, 2007factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 18, 2026
Advisor changed firm
••• Locked
Form ADVobserved yesterday

Show 2 bookkeeping events

Occurred
Sep 21, 2026
••• Locked
First seen by DFX
Sep 19, 2026
date not stated
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f704924-d90c-6e06-70d1-748d46f813a8
First observed: Aug 7, 2006
Last observed: Sep 22, 2026 37 h 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.