DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

M•••••• N•••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:6da64029-c875-9128-300f-61bcd2353300

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2005 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: Jun 29, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 6, 2025	n/a	yes	SAN DIEGO, CA\|STANHOPE, NJ\|Stanhope, NJ	Current employment
L•••• B•••••• • C••• L••	Independent wealth	Mar 26, 2019	Oct 16, 2025	no	CAZENOVIA, NY\|Mine Hill, NJ\|Stanhope, NJ\|Murphy, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••• B•••••• • C••• L••	L•• F•••••••• L••	Oct 16, 2025	Oct 6, 2025	-10	Firm change	RIA to ibd
P•••••••• F•••••••• S•••••••	L•• F•••••••• L••	Jul 9, 2018	Sep 6, 2013

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 6, 2013 to Sep 25, 2013factForm ADV
→ L•••• B•••••• • C••• L••Registered adviserregistration: previous registration
Mar 26, 2019 to Oct 16, 2025factForm ADV
→ P•••••••• F•••••••• S•••••••Registered adviserregistration: previous registration
Sep 5, 2013 to Jul 9, 2018factForm ADV
→ 1•• G••••• A••••••• I••

Dated events

Occurred
Oct 16, 2025
Advisor changed firm
M•••••• N••••••• left L•••• B•••••• • C••• L•• for L•• F•••••••• L•• (registered 2025-10-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6da64029-c875-9128-300f-61bcd2353300
First observed: Jun 30, 2005
Last observed: Sep 15, 2026 7 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.