DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)38 years in industry

D•••• G••••• S••••••••

Advisor at L•• F•••••••• L••

AMHERST, NY

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Search this name across graphsid dfx:ria:5764b28d-daa5-c638-52ac-04b34de32796

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 5, 2014 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: Aug 10, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 26, 2024	n/a	yes	AMHERST, NY	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	Feb 26, 2024	no	Amherst, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	L•• F•••••••• L••	Feb 26, 2024	Feb 26, 2024	0	Firm change	Ibd to ibd
M•• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Mar 25, 2017	Mar 25, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
10409:6413:NY:2024-02-26	Feb 26, 2024	Feb 26, 2024	AMHERST, NY	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 26, 2024 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Feb 26, 2024factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 12, 2016 to Mar 25, 2017factForm ADV

Dated events

Occurred
Feb 26, 2024
Advisor changed firm
D•••• G••••• S•••••••• left M•• I•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2024-02-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5764b28d-daa5-c638-52ac-04b34de32796
First observed: Feb 5, 2014
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.