DFX Intelligence

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

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

C••••••••• M•••••••

Advisor at L•• F•••••••• L••

BANGOR, ME

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Search this name across graphsid dfx:ria:6707c0ab-69e0-da38-a535-70240917b2dc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 14, 2009 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: Dec 30, 2008earliest 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: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Apr 22, 2024	n/a	yes	BANGOR, ME	Current employment
G•••• P•••• A•••••••• L••	Former SEC adviser	Apr 1, 2021	Apr 23, 2024	no	ROCKVILLE, MD\|Bangor, ME\|ROCKVILLE, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••• P•••• A•••••••• L••	L•• F•••••••• L••	Apr 23, 2024	Apr 22, 2024	-1	Firm change	Ibd to ibd
H• B•••• I•••	G•••• P•••• A•••••••• L••	Apr 1, 2021	Apr 1, 2021

Relationships

Registered with (7)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 22, 2024 to presentfactForm ADV
→ G•••• P•••• A•••••••• L••Registered adviserregistration: previous registration
Apr 1, 2021 to Apr 23, 2024factForm ADV
→ H• B•••• I•••Registered adviserregistration: previous registration
Jun 29, 2020 to Apr 1, 2021factForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

Occurred
Apr 23, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6707c0ab-69e0-da38-a535-70240917b2dc
First observed: Jan 14, 2009
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.