L•••• F• A•••••

Advisor at L•• F•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 8, 2003 to Sep 15, 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: Feb 17, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Oct 4, 2023	n/a	yes	NORWALK, CT\|Norwalk, CT\|SAN DIEGO, CA	Current employment
G•••• P•••• A•••••••• L••	Former SEC adviser	Apr 1, 2021	Oct 6, 2023	no	ROCKVILLE, MD\|Norwalk, CT\|ROCKVILLE, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••• P•••• A•••••••• L••	L•• F•••••••• L••	Oct 6, 2023	Oct 4, 2023	-2	Firm change	Ibd to ibd
H• B•••• I•••	G•••• P•••• A•••••••• L••	Apr 1, 2021	Apr 1, 2021

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 4, 2023 to presentfactForm ADV
→ G•••• P•••• A•••••••• L••Registered adviserregistration: previous registration
Apr 1, 2021 to Oct 6, 2023factForm ADV
→ H• B•••• I•••Registered adviserregistration: previous registration
Jan 8, 2003 to Apr 1, 2021factForm ADV

Dated events

Occurred
Oct 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 8, 2003
Last observed: Sep 15, 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.