DFX Intelligence

B••••••• W••••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

B••••••• W••••• K••••••••

Advisor at L•• F•••••••• L••

WALPOLE, MA

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Search this name across graphsid dfx:ria:2acfdd7d-0b1e-c9c9-0298-cbd4a74ea6dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1997 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: Jan 25, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 19derivedfrom 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	Dec 19, 2006	n/a	yes	WALPOLE, MA	Current employment
F•••• A••••• S••••••••• I•••	Former SEC adviser	Jan 1, 2000	Jan 5, 2007	no	WESTERLY, RI\|WESTERLY, RI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• F•••••••• A••••••• S••••••• I••	F•••• A••••• S••••••••• I•••	Jan 16, 2007	Jan 1, 2000	-2,572	Firm change after gap	Other
F•••• A••••• S••••••••• I•••	L•• F•••••••• L••	Jan 5, 2007	Dec 19, 2006

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 19, 2006 to presentfactForm ADV
→ F•••• F•••••••• A••••••• S••••••• I••Registered adviserregistration: previous registration
Jan 1, 1997 to Jan 16, 2007factForm ADV
→ F•••• A••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2000 to Jan 5, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2acfdd7d-0b1e-c9c9-0298-cbd4a74ea6dd
First observed: Jan 1, 1997
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.