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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

N••••• J••• Y•••••

Advisor at L•• I•••••••••

Glastonbury, CT | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:776ddf12-68e0-7730-534e-422d46d40bdb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2001 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•• I•••••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom 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•• I•••••••••	Independent wealth	Apr 3, 2024	n/a	yes	PALM BEACH GARDENS, FL\|Glastonbury, CT	Current employment
M•••••• F•••••••• G••••• L••	Former SEC adviser	Mar 6, 2017	Mar 31, 2023	no

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
M•••••• F•••••••• G••••• L••	L•• I•••••••••	Mar 31, 2023	Apr 3, 2024	369	Firm change	Other
L•• F•••••••• L••	M•••••• F•••••••• G••••• L••	Jul 17, 2017

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
287649:323556:CT:2023-03-31	Mar 31, 2023	Apr 3, 2024	GLASTONBURY, CT	Firm change
6413:287649:CT:2017-07-17	Jul 17, 2017	Mar 6, 2017	GLASTONBURY, CT	Firm change after gap

Relationships

Registered with (3)

→ L•• I•••••••••Registered adviserregistration: current employment
Apr 3, 2024 to presentfactForm ADV
→ M•••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Mar 6, 2017 to Mar 31, 2023factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 29, 2001 to Jul 17, 2017factForm ADV

Dated events

Occurred
Mar 31, 2023
Advisor changed firm
N••••• J••• Y••••• left M•••••• F•••••••• G••••• L•• for L•• I••••••••• (registered 2024-04-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:776ddf12-68e0-7730-534e-422d46d40bdb
First observed: Jan 29, 2001
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.