DFX Intelligence

S••••• E••• P••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

S••••• E••• P••••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:b823f17b-af47-9cb8-0078-821c3663dfcc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2004 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: Apr 17, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 9derivedfrom 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	Apr 24, 2017	n/a	yes	HOWARD BEACH, NY\|HOWARD BEACH, NY\|ROCKAWAY PARK, NY\|FREEPORT, NY\|BELLMORE, NY\|MERRICK, NY\|PORT WASHINGTON, NY	Current employment
H••• S••••••••• •••• I•••	Bd affiliated wealth	Apr 24, 2012	Jun 6, 2017	no	BAY SHORE, NY\|WEST BABYLON, NY\|HUNTINGTON, NY\|OYSTER BAY, NY\|BELLPORT, NY\|BAY SHORE, NY\|WEST BABYLON, NY\|COMMACK, NY\|EAST NORTHPORT, NY\|SOUTHAMPTON, NY\|HAMPTON BAYS, NY\|PORT JEFFERSON, NY\|HAUPPAUGE, NY\|BOHEMIA, NY\|HUNTINGTON STATION, NY\|MELVILLE, NY\|WEST BABYLON, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••• S••••••••• •••• I•••	L•• F•••••••• L••	Jun 6, 2017	Apr 24, 2017	-43	Firm change after gap	Other
C•••••• O•• F•••••••• A••••••• L••	H••• S••••••••• •••• I•••	Jan 25, 2011	Apr 24, 2012

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 24, 2017 to presentfactForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Apr 24, 2012 to Jun 6, 2017factForm ADV
→ C•••••• O•• F•••••••• A••••••• L••Registered adviserregistration: previous registration
Dec 13, 2006 to Jan 25, 2011factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b823f17b-af47-9cb8-0078-821c3663dfcc
First observed: Mar 11, 2004
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.