DFX Intelligence

G••••••• M• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

G••••••• M• D••••••

Advisor at L•• F•••••••• L••

POUGHKEEPSIE, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2011 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 20, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 4derivedfrom 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 22, 2022	n/a	yes	POUGHKEEPSIE, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jun 1, 2020	Aug 11, 2021	no	WHITE PLAINS, NY\|SCARSDALE, NY\|SHELTON, CT\|DERBY, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• S••••••••• I•••	L•• F•••••••• L••	Mar 20, 2020	Jun 1, 2020	73	Firm change	Other
O••••••••• • C•• I•••	M•• S••••••••• I•••	Oct 27, 2016	Oct 28, 2016

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 1, 2020 to Aug 11, 2021factForm ADV
→ M•• S••••••••• I•••Registered adviserregistration: previous registration
Oct 28, 2016 to Mar 20, 2020factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Sep 5, 2013 to Oct 27, 2016factForm ADV
→ E•••••••• A•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 1, 2011
Last observed: Sep 14, 2026 9 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.