DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

W•••••• C•••• J••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:c587eb93-786e-d047-42a6-386386846a8b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 3, 2024 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: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Oct 27, 2025	n/a	yes	Rochester, NY\|SAN DIEGO, CA\|ROCHESTER, NY	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jan 24, 2025	Oct 29, 2025	no	Rochester, NY\|ROCHESTER, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	L•• F•••••••• L••	Oct 29, 2025	Oct 27, 2025	-2	Bulk transfer	Ibd to ibd
O•••• F•• I•••	O•••• W•••••• I•••	Jan 24, 2025	Jan 24, 2025

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 27, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jan 24, 2025 to Oct 29, 2025factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Oct 3, 2024 to Jan 24, 2025factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c587eb93-786e-d047-42a6-386386846a8b
First observed: Oct 3, 2024
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.