DFX Intelligence

L•••• A•• C•••••: 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)21 years in industry

L•••• A•• C•••••

Advisor at L••••• R••••••••• A•••••••

••• 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:a1c4b467-8178-76c4-29f2-7cc934f3543e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 7, 2009 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••••• R••••••••• A•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jan 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	Aug 4, 2025	n/a	yes	SAN DIEGO, CA\|Buffalo, NY\|BUFFALO, NY	Current employment
L••••• R••••••••• A•••••••	Institutional manager	Jul 28, 2021	n/a	yes	BUFFALO, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	L•• F•••••••• L••	Aug 12, 2025	Aug 4, 2025	-8	Firm change	Ibd to ibd
C•••••• G•••• • C• I••	L••••• R••••••••• A•••••••	May 10, 2022	Jul 28, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
23131:6413:NY:2025-08-11	Aug 12, 2025	Aug 4, 2025	BUFFALO, NY	Firm change
10641:282786:NY:2022-05-10	May 10, 2022	Jul 28, 2021	BUFFALO, NY	Firm change after gap

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 4, 2025 to presentfactForm ADV
→ L••••• R••••••••• A•••••••Registered adviserregistration: current employment
Jul 28, 2021 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
May 5, 2022 to Aug 12, 2025factForm ADV
→ C•••••• G•••• • C• I••

Dated events

Occurred
Aug 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 10, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1c4b467-8178-76c4-29f2-7cc934f3543e
First observed: Jul 7, 2009
Last observed: Sep 15, 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.