DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

E••• R•••••• M••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:43a9f69a-2439-f3cc-81b7-c075d4f1aa3b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 6, 2018 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: Feb 6, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom 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 6, 2025	n/a	yes	HAVERHILL, MA\|SAN DIEGO, CA\|Haverhill, MA	Current employment
T•••• A••••••• G•••• L••	Independent wealth	Jan 15, 2020	Nov 10, 2025	no	BIRMINGHAM, AL\|Reading, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• A••••••• G•••• L••	L•• F•••••••• L••	Nov 10, 2025	Nov 6, 2025	-4	Firm change	RIA to ibd
A•••• C•••••• L••	T•••• A••••••• G•••• L••	Jan 7, 2020	Jan 15, 2020

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 6, 2025 to presentfactForm ADV
→ T•••• A••••••• G•••• L••Registered adviserregistration: previous registration
Jan 15, 2020 to Nov 10, 2025factForm ADV
→ A•••• C•••••• L••Registered adviserregistration: previous registration
Jun 6, 2018 to Jan 7, 2020factForm ADV

Dated events

Occurred
Nov 10, 2025
Advisor changed firm
E••• R•••••• M•••• left T•••• A••••••• G•••• L•• for L•• F•••••••• L•• (registered 2025-11-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43a9f69a-2439-f3cc-81b7-c075d4f1aa3b
First observed: Jun 6, 2018
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.