DFX Intelligence

R••••• T••••• C••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

R••••• T••••• C••••••••

Advisor at L•• F•••••••• L••

ROCKY HILL, CT

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Search this name across graphsid dfx:ria:3e29b8dc-b221-f94c-9376-7dbcb246c367

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 25, 2000 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 26, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 18derivedfrom 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	Nov 9, 2007	n/a	yes	ROCKY HILL, CT\|ROCKY HILL, CT	Current employment
U•••• F•••••••• S••••••• G••••• I•••	n/a	Feb 13, 2007	Oct 11, 2011	no	WETHERSFIELD, CT\|CROMWELL, CT\|WEST HARTFORD, CT\|WETHERSFIELD, CT\|ROCKY HILL, CT\|ESSEX, CT\|OLD SAYBROOK, CT\|MADISON, CT\|OLD LYME, CT\|GUILFORD, CT\|WETHERSFIELD, CT\|ROCKY HILL, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••• F•••••••• S••••••• G••••• I•••	L•• F•••••••• L••	Oct 11, 2011	Nov 9, 2007	-1,432	Bulk transfer	Other
W•••••• I••••••••• S•••••••• I•••	U•••• F•••••••• S••••••• G••••• I•••	Feb 13, 2007	Feb 13, 2007

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 9, 2007 to presentfactForm ADV
→ U•••• F•••••••• S••••••• G••••• I•••Registered adviserregistration: previous registration
Feb 13, 2007 to Oct 11, 2011factForm ADV
→ W•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 25, 2000 to Feb 13, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e29b8dc-b221-f94c-9376-7dbcb246c367
First observed: Sep 25, 2000
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.