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L•••••• B••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

L•••••• B••••••••

Advisor at I•••••• A••••••• L••

Staten Island, NY | WASHINGTON, DC

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Search this name across graphsid dfx:ria:abf12470-7d57-6109-418d-809ed784e3f6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 28, 2009 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: I•••••• A••••••• L••
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 22, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
I•••••• A••••••• L••	Former SEC adviser	May 19, 2023	n/a	yes	Staten Island, NY\|WASHINGTON, DC	Current employment
T•• M••••••••• A••••••• I•••	Asset manager	Sep 14, 2021	Oct 21, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T•• M••••••••• A••••••• I•••	I•••••• A••••••• L••	Oct 21, 2023	May 19, 2023	-155	Firm change after gap	Other
S•••• A••••• W••••• M••••••••• L••	T•• M••••••••• A••••••• I•••	Jun 6, 2017

Relationships

Registered with (5)

→ I•••••• A••••••• L••Registered adviserregistration: current employment
May 19, 2023 to presentfactForm ADV
→ T•• M••••••••• A••••••• I•••Registered adviserregistration: previous registration
Sep 14, 2021 to Oct 21, 2023factForm ADV
→ S•••• A••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 14, 2016 to Jun 6, 2017factForm ADV
→ A•••••• W••••• M••••••••• L•••

Dated events

Occurred
Oct 21, 2023
A•••••• firm change
L•••••• B•••••••• left T•• M••••••••• A••••••• I••• for I•••••• A••••••• L•• (registered 2023-05-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abf12470-7d57-6109-418d-809ed784e3f6
First observed: Jan 28, 2009
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.