DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

J•••• L••• C•••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:c44c7b27-c330-1087-7696-b10ad325bb5a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Aug 24, 2007 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: May 24, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Aug 17, 2022	n/a	yes	PARSONSFIELD, ME\|KITTERY, ME\|WESTBROOK, ME\|SCARBOROUGH, ME\|SOUTH BERWICK, ME\|WELLS, ME\|YORK, ME\|SOUTH PORTLAND, ME\|YARMOUTH, ME\|BRUNSWICK, ME\|KENNEBUNKPORT, ME\|KENNEBUNK, ME\|FALMOUTH, ME\|BIDDEFORD, ME\|PORTLAND, ME\|BRIDGEPORT, CT\|BALTIMORE, MD\|RAYMOND, NH\|FERNDALE, WA\|CONCORD, NH\|STRATHAM, NH\|DANBURY, CT\|MARLBOROUGH, MA	Current employment
P••••••• U••••• A•••••••• I•••	Former SEC adviser	Jul 28, 2020	Aug 17, 2022

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• U••••• A•••••••• I•••	L•• F•••••••• L••	Aug 17, 2022	Aug 17, 2022	0	Bulk transfer	RIA to RIA
A••••••• F•••••••• A•••••••• L••	P••••••• U••••• A•••••••• I•••	Apr 13, 2020	Jul 28, 2020

Relationships

Registered with (8)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 17, 2022 to presentfactForm ADV
→ P••••••• U••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 28, 2020 to Aug 17, 2022factForm ADV
→ A••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
May 2, 2019 to Apr 13, 2020factForm ADV
→ F•••••• F•••••••• S••••••••• L••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 14, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c44c7b27-c330-1087-7696-b10ad325bb5a
First observed: Aug 24, 2007
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.