DFX Intelligence

H••••• M• D•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

H••••• M• D•••••••••

Advisor at L•• F•••••••• L••

GUILFORD, CT

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Search this name across graphsid dfx:ria:da14f152-d926-6546-8460-52336e8ce89b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2000 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 public••• Locked
Industry start: Jan 24, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jun 1, 2018	n/a	yes	GUILFORD, CT	Current employment
W••••••• C•••••• M••••••• L••	Former SEC adviser	Dec 11, 2013	Jun 26, 2018	no	W•••••••, CT\|W•••••••, CT\|W•••••••, CT\|GUILFORD, CT\|Guilford, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• C•••••• M••••••• L••	L•• F•••••••• L••	Jun 26, 2018	Jun 1, 2018	-25	Firm change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W••••••• C•••••• M••••••• L••	Nov 1, 2012	Dec 11, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
41562:6413:CT:2018-06-26	Jun 26, 2018	Jun 1, 2018	GUILFORD, CT	Firm change

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 1, 2018 to presentfactForm ADV
→ W••••••• C•••••• M••••••• L••Registered adviserregistration: previous registration
Dec 11, 2013 to Jun 26, 2018factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 12, 2008 to Nov 1, 2012factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:da14f152-d926-6546-8460-52336e8ce89b
First observed: Mar 28, 2000
Last observed: Sep 14, 2026 9 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.