DFX Intelligence

M••• W•••••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

M••• W•••••• G•••••••

Advisor at L•• F•••••••• L••

RYE, NY

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Search this name across graphs

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 3, 2014 to Sep 17, 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: Jul 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom 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	Sep 14, 2026	n/a	yes	RYE, NY	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Oct 11, 2024	n/a	yes	Rye, NY\|Woodstock, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	L•• F•••••••• L••	Sep 16, 2026	Sep 14, 2026	-2	Firm change	Ibd to ibd
A••••••• P••••••••• A•••••••• I••	O•••• W•••••• I•••	Oct 11, 2024	Oct 11, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
23131:6413:NY:2026-09-16	Sep 16, 2026	Sep 14, 2026	RYE, NY	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 14, 2026 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Oct 11, 2024 to Sep 16, 2026factForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Jun 3, 2014 to Oct 11, 2024factForm ADV

Dated events

Order

Occurred
16 Sep 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 3, 2014
Last observed: Sep 17, 2026 6 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.