DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

L•••• A••• B•••••

Advisor at C••••• I••••••••• A••••••• L••

Olean, NY | OLEAN, NY

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Search this name across graphsid dfx:ria:1cc98bf2-375f-f333-5e8c-182ac1ae3b4d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 25, 2011 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 26, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Dec 11, 2025	n/a	yes	OLEAN, NY\|Olean, NY	Current employment
L•••••• P••• C•••••• L••	Independent wealth	Jul 1, 2024	Dec 17, 2025	no	OLEAN, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• P••• C•••••• L••	C••••• I••••••••• A••••••• L••	Dec 17, 2025	Dec 11, 2025	-6	Firm change	RIA to ibd
O•••• F•• I•••	L•••••• P••• C•••••• L••	Jul 1, 2024	Jul 1, 2024

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Dec 11, 2025 to presentfactForm ADV
→ L•••••• P••• C•••••• L••Registered adviserregistration: previous registration
Jul 1, 2024 to Dec 17, 2025factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Feb 5, 2015 to Jul 1, 2024factForm ADV
→ I••••• F•••••••• C•••••••••

Dated events

Occurred
Dec 17, 2025
Advisor changed firm
L•••• A••• B••••• left L•••••• P••• C•••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-12-11)
Form ADVobserved 7 days ago
Occurred
Jul 1, 2024
Advisor changed firm
L•••• A••• B••••• left O•••• F•• I••• for L•••••• P••• C•••••• L•• (registered 2024-07-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1cc98bf2-375f-f333-5e8c-182ac1ae3b4d
First observed: Jan 25, 2011
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.