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R••••• A•••••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R••••• A•••••• L•••••

Advisor at L•• F•••••••• L••

WEST HARTFORD, CT | BOCA RATON, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:11f3b8e3-dba4-9b22-64ab-05f6acc9415d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2005 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 25, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 9, 2021	n/a	yes	WEST HARTFORD, CT\|BOCA RATON, FL	Current employment
N•••••••• W••••• P••••••• L••	Former SEC adviser	Jan 7, 2014	Feb 8, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••••• W••••• P••••••• L••	L•• F•••••••• L••	Feb 8, 2021	Feb 9, 2021	1	Firm change	RIA to ibd
S•••••• W••••• P•••••••• L••	N•••••••• W••••• P••••••• L••	Dec 31, 2011

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
169409:6413:CT:2021-02-08	Feb 8, 2021	Feb 9, 2021	WEST HARTFORD, CT	Firm change

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 9, 2021 to presentfactForm ADV
→ N•••••••• W••••• P••••••• L••Registered adviserregistration: previous registration
Jan 7, 2014 to Feb 8, 2021factForm ADV
→ S•••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Sep 1, 2010 to Dec 31, 2011factForm ADV
→ O•••• F•• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11f3b8e3-dba4-9b22-64ab-05f6acc9415d
First observed: Feb 23, 2005
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.