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T•••• W••••••••• P••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

T•••• W••••••••• P••••

Advisor at L•• F•••••••• L••

OLD SAYBROOK, CT

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Search this name across graphsid dfx:ria:d625d924-7fd9-dfc6-ca9f-1b09810cc33a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 4, 2001 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: May 31, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	May 7, 2021	n/a	yes	OLD SAYBROOK, CT	Current employment
C••••••••• W••••• M••••••••• L••	Independent wealth	Sep 1, 2020	May 5, 2021	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
C••••••••• W••••• M••••••••• L••	L•• F•••••••• L••	May 5, 2021	May 7, 2021	2	Firm change	RIA to ibd
N•••••••• W••••• P••••••• L••	C••••••••• W••••• M••••••••• L••	Aug 31, 2020

Team moves

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

Team	Left	Joined	From	Kind
6413:169409:CT:2016-09-07	Sep 7, 2016	Jun 9, 2014	WEST HARTFORD, CT	Firm change after gap

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 10, 2013 to Sep 7, 2016factForm ADV
→ C••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 1, 2020 to May 5, 2021factForm ADV
→ N•••••••• W••••• P••••••• L••Registered adviserregistration: previous registration
Jun 9, 2014 to Aug 31, 2020factForm ADV
→ E•••• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d625d924-7fd9-dfc6-ca9f-1b09810cc33a
First observed: Apr 4, 2001
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.