DFX Intelligence

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

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RIA / WealthAdvisor12 years in industry

L••••• J••• P•••••

Advisor at C••••••••• F•••••••• N••••••

Watertown, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Nov 20, 2023 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Oct 31, 2024	n/a	yes	Watertown, NY	Current employment
E••••••• L••	Former SEC adviser	Nov 20, 2023	Nov 5, 2024	no	Watertown, NY\|SYRACUSE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• L••	C••••••••• F•••••••• N••••••	Nov 5, 2024	Oct 31, 2024	-5	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
121188:8032:NY:2024-11-05	Nov 5, 2024	Oct 31, 2024	SYRACUSE, NY	Firm change

Relationships

Registered with (2)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Oct 31, 2024 to presentfactForm ADV
→ E••••••• L••Registered adviserregistration: previous registration
Nov 20, 2023 to Nov 5, 2024factForm ADV

Dated events

Order

Occurred
5 Nov 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 20, 2023
Last observed: Sep 14, 2026 9 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.