DFX Intelligence

A•••••••• J••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

A•••••••• J••• N•••••

Advisor at L•• F•••••••• L••

WEST HARFORD, CT

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Search this name across graphsid dfx:ria:1961f362-736f-0ad0-6f13-a4f73b9347a4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 21, 1999 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: Oct 1, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 5, 2025	n/a	yes	WEST HARFORD, CT	Current employment
W•••••• I••••••••• S•••••••••	Former SEC adviser	Apr 20, 2015	Jun 5, 2025	no	Santa Rosa, CA\|WEST HARTFORD, CT\|West Hartford, CT\|Clovis, CA\|Crystal Bay, NV\|West Harford, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• I••••••••• S•••••••••	L•• F•••••••• L••	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
G•• A•••••••	W•••••• I••••••••• S•••••••••	Dec 31, 2013	Apr 20, 2015

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ W•••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Apr 20, 2015 to Jun 5, 2025factForm ADV
→ G•• A•••••••Registered adviserregistration: previous registration
Dec 20, 2013 to Dec 31, 2013factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1961f362-736f-0ad0-6f13-a4f73b9347a4
First observed: Apr 21, 1999
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.