DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

C••••••••• L•••• D••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:0fc62200-6a7c-b2df-0ef5-e6a32954c2ca

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2009 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: Jul 30, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Aug 17, 2022	n/a	yes	BROOKFIELD, CT\|DANBURY, CT\|RIDGEFIELD, CT\|BETHEL, CT\|SOMERS, NY	Current employment
P••••••• U••••• A•••••••• I•••	Former SEC adviser	May 22, 2018	Aug 17, 2022	no	Brookfield, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• U••••• A•••••••• I•••	L•• F•••••••• L••	Aug 17, 2022	Aug 17, 2022	0	Bulk transfer	RIA to RIA
P••••••• S••••••••• I•••	P••••••• U••••• A•••••••• I•••	Mar 31, 2020	May 22, 2018

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 11, 2012 to Jan 3, 2014factForm ADV
→ P••••••• U••••• A•••••••• I•••Registered adviserregistration: previous registration
May 22, 2018 to Aug 17, 2022factForm ADV
→ P••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 2, 2014 to Mar 31, 2020factForm ADV
→ C•••••• O•• F•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0fc62200-6a7c-b2df-0ef5-e6a32954c2ca
First observed: Nov 17, 2009
Last observed: Sep 15, 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.