DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

L•••• B•••• A•••••••••

Advisor at C••••• I••••••••• A••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:bb530354-1324-6eab-62ed-7d3919d2b6d2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2021 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 22, 2024	n/a	yes	NEW YORK, NY	Current employment
P••••••••• S••••••••• C•••••••••	Independent wealth	Jul 26, 2021	Aug 20, 2024	no	FARMINGVILLE, NY\|New York, NY\|NEW YORK, NY\|NEW HAVEN, CT\|OVIEDO, FL\|CARPINTERIA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• S••••••••• C•••••••••	C••••• I••••••••• A••••••• L••	Aug 20, 2024	Aug 22, 2024	2	Firm change	RIA to ibd

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 22, 2024 to presentfactForm ADV
→ P••••••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jul 26, 2021 to Aug 20, 2024factForm ADV

Dated events

Occurred
Aug 20, 2024
Advisor changed firm
L•••• B•••• A••••••••• left P••••••••• S••••••••• C••••••••• for C••••• I••••••••• A••••••• L•• (registered 2024-08-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb530354-1324-6eab-62ed-7d3919d2b6d2
First observed: Jul 26, 2021
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.