DFX Intelligence

P••• E••••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

P••• E••••• P•••••

Advisor at L••••••• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:301a3d65-b211-026a-2906-2e87c6a4c109

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 23, 2010 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: state registeredderived
Book size: not public••• Locked
Industry start: Mar 30, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• F•••••••• L••	State registered	Jul 7, 2021	n/a	yes	NEW YORK, NY	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jun 29, 2021	n/a	yes	Bellevue, WA\|NEW YORK, NY\|Dobbs Ferry, NY\|RHINEBECK, NY\|New Providence, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	C••••••••• F•••••••• N••••••	Jan 10, 2014	Jun 29, 2021	2,727	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (3)

→ L••••••• F•••••••• L••Registered adviserregistration: current employment
Jul 7, 2021 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jun 29, 2021 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 23, 2010 to Jan 10, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:301a3d65-b211-026a-2906-2e87c6a4c109
First observed: Jun 23, 2010
Last observed: Sep 15, 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.