DFX Intelligence

W•••••• J•••• C•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)54 years in industry

W•••••• J•••• C•••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:282b6263-8baf-98c7-27ad-a9450855d6a8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 13, 2011 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: Jan 1, 1972earliest registration or exam on IAPD
Years in industry: 54derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Mar 7, 2025	n/a	yes	MELVILLE, NY\|VERO BEACH, FL\|OSTERVILLE, MA	Current employment
I• A••••••• S•••••••• I•••	Former SEC adviser	Jan 3, 2013	Dec 31, 2023	no	BEDMINSTER, NJ\|MELVILE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I• A••••••• S•••••••• I•••	L•• F•••••••• L••	Dec 31, 2023	Mar 7, 2025	432	Firm change after gap	Ibd to ibd
F•• S••••••••• C•••••••••	I• A••••••• S•••••••• I•••	Dec 31, 2012	Jan 3, 2013

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 7, 2025 to presentfactForm ADV
→ I• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2013 to Dec 31, 2023factForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Apr 13, 2011 to Dec 31, 2012factForm ADV

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:282b6263-8baf-98c7-27ad-a9450855d6a8
First observed: Apr 13, 2011
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.