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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

R••••• A••••••

Advisor at L•• E••••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:73ccd5d6-ab00-677c-674f-251912c9b700

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 14, 2017 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•• E••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• E••••••••• L••	Bd affiliated wealth	Nov 14, 2024	n/a	yes	NEW YORK, NY	Current employment
P•••• S••••••••• L••	No RAUM reported	Oct 5, 2023	Nov 14, 2024	no	New York, NY

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	L•• E••••••••• L••	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
N••••••••• M••••• I••••••••• S•••••••••	P•••• S••••••••• L••	Oct 26, 2023

Relationships

Registered with (4)

→ L•• E••••••••• L••Registered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Oct 5, 2023 to Nov 14, 2024factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Nov 16, 2022 to Oct 26, 2023factForm ADV
→ E•••• S••••••••• L••

Dated events

Occurred
Oct 26, 2023
Advisor changed firm
R••••• A•••••• left N••••••••• M••••• I••••••••• S••••••••• for P•••• S••••••••• L•• (registered 2023-10-05)
Form ADVobserved 6 days ago
Occurred
Oct 26, 2022
Advisor changed firm
R••••• A•••••• left E•••• S••••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2022-11-16)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73ccd5d6-ab00-677c-674f-251912c9b700
First observed: Dec 14, 2017
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.