DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

W•••••• W•

Advisor at L•• F•••••••• L••

FRANKLIN, TN | HASTINGS ON HUDSON, NY

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Search this name across graphsid dfx:ria:66c54d28-6a61-b88d-3eed-cb1c287a20f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2007 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: Mar 30, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Aug 3, 2021	n/a	yes	FRANKLIN, TN\|HASTINGS ON HUDSON, NY	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Apr 2, 2007	Dec 22, 2008	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Dec 22, 2008	Aug 3, 2021	4,607	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 3, 2021 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 2, 2007 to Dec 22, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66c54d28-6a61-b88d-3eed-cb1c287a20f7
First observed: Apr 2, 2007
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.