DFX Intelligence

C••••••• O••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner25 years in industry

C••••••• O••• S•••••

Advisor at L•••••••• F•••••••• S••••••••• L••

MIDDLETOWN, CT

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Search this name across graphsid dfx:ria:9737d26d-becf-236c-2c3f-2c0a7990a9af

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 3, 2006 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•••••••• S••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Dec 28, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•••••••• F•••••••• S••••••••• L••	State registered	Apr 30, 2008	n/a	yes	MIDDLETOWN, CT	Current employment
S••••• A••• I••••••••• A•••••• S•••••••• I•••	Former SEC adviser	Jul 3, 2006	Jul 7, 2008	no	MIDDLETOWN, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• A••• I••••••••• A•••••• S•••••••• I•••	L•••••••• F•••••••• S••••••••• L••	Jul 7, 2008	Apr 30, 2008	-68	Firm change after gap	Other

Relationships

Registered with (2)

→ L•••••••• F•••••••• S••••••••• L••Registered adviserregistration: current employment
Apr 30, 2008 to presentfactForm ADV
→ S••••• A••• I••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 3, 2006 to Jul 7, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9737d26d-becf-236c-2c3f-2c0a7990a9af
First observed: Jul 3, 2006
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.