DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

W•••••• R• D•••••

Advisor at L•• F•••••••• L••

••• Locked

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:9b2e5f67-5591-3913-1c9a-998973e3c9ce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 2, 2016 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: Oct 16, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2022	n/a	yes	SOUTH BURLINGTON, VT\|MIDDLEBURY, VT\|MILTON, VT\|COLCHESTER, VT\|SHELBURNE, VT\|RUTLAND, VT\|FAIR HAVEN, VT\|BURLINGTON, VT\|SAINT ALBANS, VT\|VERGENNES, VT\|SOUTH BURLINGTON, VT\|SHELBURNE, VT	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 14, 2021	Nov 29, 2022

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Nov 29, 2022	Nov 29, 2022	0	Firm change	Wirehouse to RIA
C••••••• S••••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jan 13, 2021	Jan 14, 2021

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Nov 29, 2022 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 14, 2021 to Nov 29, 2022factForm ADV
→ C••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 23, 2018 to Jan 13, 2021factForm ADV
→ K•• I••••••••• S••••••• L••

Dated events

Occurred
Nov 29, 2022
Advisor changed firm
W•••••• R• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2022-11-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b2e5f67-5591-3913-1c9a-998973e3c9ce
First observed: Jun 2, 2016
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.