DFX Intelligence

R•• G••••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)34 years in industry

R•• G••••• C•••••

Advisor at L•• F•••••••• L••

CLIFTON PARK, NY | ALTOONA, PA

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Search this name across graphsid dfx:ria:9c6c5c6c-c81a-d6bc-002a-02e58f8caef4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 16, 2019 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: Jun 11, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jul 10, 2025	n/a	yes	ALTOONA, PA\|CLIFTON PARK, NY	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	Sep 16, 2019	Jul 10, 2025	no	Clifton Park, NY\|Altoona, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	L•• F•••••••• L••	Jul 10, 2025	Jul 10, 2025	0	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Sep 16, 2019 to Jul 10, 2025factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c6c5c6c-c81a-d6bc-002a-02e58f8caef4
First observed: Sep 16, 2019
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.