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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

A•• C• D••••••

Advisor at L•• F•••••••• L••

OSTERVILLE, MA

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Search this name across graphsid dfx:ria:4b1d1137-7ec5-ec70-43cc-ba60c2c5c715

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 10, 2010 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Dec 6, 2023	n/a	yes	OSTERVILLE, MA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Nov 2, 2018	Dec 4, 2023	no	NEEDHAM HEIGHTS, MA\|OSTERVILLE, MA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	L•• F•••••••• L••	Dec 4, 2023	Dec 6, 2023	2	Firm change	Ibd to ibd
S••••••• I••••••••• I•••	O•••• W•••••• I•••	Nov 2, 2018

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
23131:6413:MA:2023-12-04	Dec 4, 2023	Dec 6, 2023	OSTERVILLE, MA	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Dec 6, 2023 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Nov 2, 2018 to Dec 4, 2023factForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Feb 10, 2010 to Nov 2, 2018factForm ADV

Dated events

Occurred
Dec 4, 2023
Advisor changed firm
A•• C• D•••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2023-12-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b1d1137-7ec5-ec70-43cc-ba60c2c5c715
First observed: Feb 10, 2010
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.