DFX Intelligence

D•••• S• L•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)50 years in industry

D•••• S• L•••

Advisor at L•• F•••••••• L••

BROOKFIELD, CT

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 graphsid dfx:ria:77d6bcf6-0ad2-4878-1113-82f4c1fb19a9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 6, 2000 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: Mar 1, 1976earliest registration or exam on IAPD
Years in industry: 50derivedfrom 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	Apr 10, 2026	n/a	yes	BROOKFIELD, CT	Current employment
F••••••• F•••••••• S••••••••• L••	Independent wealth	Nov 1, 2023	Apr 14, 2026	no	Brookfield, CT\|TOWSON, MD\|BROOKFIELD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• F•••••••• S••••••••• L••	L•• F•••••••• L••	Apr 14, 2026	Apr 10, 2026	-4	Firm change	RIA to ibd
S••••••••• A•••••• A•••••••• I•••	F••••••• F•••••••• S••••••••• L••	Nov 3, 2023	Nov 1, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:110518:CT:2017-10-25	Oct 27, 2017	Oct 25, 2017	BROOKFIELD, CT	Firm change

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 10, 2026 to presentfactForm ADV
→ F••••••• F•••••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 1, 2023 to Apr 14, 2026factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 25, 2017 to Nov 3, 2023factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Apr 14, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77d6bcf6-0ad2-4878-1113-82f4c1fb19a9
First observed: Jan 6, 2000
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.