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M•••••• W•••••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

M•••••• W•••••• F••••••

Advisor at L•• F•••••••• L••

SHELTON, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c82cd223-3fac-c65f-ea4e-f8916eaa5c49

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2003 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 6, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Oct 18, 2017	n/a	yes	SHELTON, CT	Current employment
N•••••••• W••••• P••••••• L••	Former SEC adviser	Nov 30, 2015	Sep 30, 2020	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••••• W••••• P••••••• L••	L•• F•••••••• L••	Sep 30, 2020	Oct 18, 2017	-1,078	Firm change after gap	Other
M•• F•••••••• S•••••••• I•••	N•••••••• W••••• P••••••• L••	Nov 30, 2015

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
169409:6413:CT:2020-09-30	Sep 30, 2020	Oct 18, 2017	WEST HARTFORD, CT	Firm change after gap
14251:169409:CT:2015-11-30	Nov 30, 2015	Nov 30, 2015	SHELTON, CT	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 18, 2017 to presentfactForm ADV
→ N•••••••• W••••• P••••••• L••Registered adviserregistration: previous registration
Nov 30, 2015 to Sep 30, 2020factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 25, 2010 to Nov 30, 2015factForm ADV
→ A•• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c82cd223-3fac-c65f-ea4e-f8916eaa5c49
First observed: Mar 12, 2003
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.