DFX Intelligence

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

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RIA / WealthAdvisor33 years in industry

L••• N••••••• P•••

Advisor at D••••• W•••••• L••

READING, PA | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:b38294f1-44dd-17db-ac28-f3bec57229c4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 13, 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: D••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 18, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D••••• W•••••• L••	Independent wealth	Dec 15, 2025	n/a	yes	PALM BEACH GARDENS, FL\|READING, PA	Current employment
L••••••••• A••••••• I•••	Former SEC adviser	Jul 8, 2020	Dec 18, 2025	no	READING, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••••• A••••••• I•••	D••••• W•••••• L••	Dec 18, 2025	Dec 15, 2025	-3	Firm change	RIA to RIA
B••• I••••••••• I••••••••• A•••••••• I•••	L••••••••• A••••••• I•••	Oct 30, 2020	Jul 8, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
308454:297987:PA:2025-12-18	Dec 18, 2025	Dec 15, 2025	READING, PA	Firm change

Relationships

Registered with (3)

→ D••••• W•••••• L••Registered adviserregistration: current employment
Dec 15, 2025 to presentfactForm ADV
→ L••••••••• A••••••• I•••Registered adviserregistration: previous registration
Jul 8, 2020 to Dec 18, 2025factForm ADV
→ B••• I••••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 13, 2019 to Oct 30, 2020factForm ADV

Dated events

Occurred
Dec 18, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b38294f1-44dd-17db-ac28-f3bec57229c4
First observed: Mar 13, 2019
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.