DFX Intelligence

G••••• D•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

G••••• D•••••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:3d0f627d-f6be-532d-aff9-4a62a903bef5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 25, 2006 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: Nov 8, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 9, 2021	n/a	yes	FLORHAM PARK, NJ\|SUMMIT, NJ\|LIVINGSTON, NJ\|UNION, NJ\|ROSELAND, NJ\|GILLETTE, NJ\|CHATHAM, NJ\|BERKELEY HEIGHTS, NJ	Current employment
M•• S••••••••• I•••	n/a	May 3, 2013	Jun 9, 2021	no

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• S••••••••• I•••	L•• F•••••••• L••	Jun 9, 2021	Jun 9, 2021	0	Bulk transfer	Other
C•••••• O•• F•••••••• A••••••• L••	M•• S••••••••• I•••	Apr 23, 2013	May 3, 2013

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 9, 2021 to presentfactForm ADV
→ M•• S••••••••• I•••Registered adviserregistration: previous registration
May 3, 2013 to Jun 9, 2021factForm ADV
→ C•••••• O•• F•••••••• A••••••• L••Registered adviserregistration: previous registration
Aug 2, 2010 to Apr 23, 2013factForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d0f627d-f6be-532d-aff9-4a62a903bef5
First observed: Apr 25, 2006
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.