DFX Intelligence

C••••••••• P••• J•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

C••••••••• P••• J•••••

Advisor at L•• F•••••••• L••

STAMFORD, CT | TARRYTOWN, NY

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:8661adbf-ad08-f62d-92e1-c34bf5da47cc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 21, 2004 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: May 15, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2017	n/a	yes	TARRYTOWN, NY\|STAMFORD, CT	Current employment
L•••• W••••• M••••••••• I•••	n/a	Apr 17, 2023	Dec 31, 2025	no	TARRYTOWN, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••• W••••• M••••••••• I•••	n/a	Dec 31, 2025	n/a	n/a	Departure no registered destination	Departure
L•••• W••••• M••••••••• I•••	L•• F•••••••• L••	Dec 31, 2021	Nov 29, 2017	-1,493

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:134425:CA:2017-12-01	Dec 6, 2017	Mar 8, 2006	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ L•••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 17, 2023 to Dec 31, 2025factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Jan 21, 2004 to Dec 6, 2017factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor departed, no destination yet
C••••••••• P••• J••••• no longer registered at L•••• W••••• M••••••••• I•••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8661adbf-ad08-f62d-92e1-c34bf5da47cc
First observed: Jan 21, 2004
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.