DFX Intelligence

Data Factory

J••• M• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

J••• M• G•••••••

Advisor at L•• F•••••••• L••

STRATFORD, CT | SHELTON, CT | BRIDGEPORT, CT | TRUMBULL, 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:db8294fe-cd11-73f2-b0de-bb64817c81f1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 19, 2002 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 4derivedfrom 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	Aug 17, 2022	n/a	yes	STRATFORD, CT\|BRIDGEPORT, CT\|BRIDGEPORT, CT\|BRIDGEPORT, CT\|TRUMBULL, CT\|TRUMBULL, CT\|SHELTON, CT	Current employment
P••••••• U••••• A•••••••• I•••	Former SEC adviser	May 21, 2018	Aug 17, 2022

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
P••••••• U••••• A•••••••• I•••	L•• F•••••••• L••	Aug 17, 2022	Aug 17, 2022	0	Bulk transfer	RIA to RIA
P••••••• S••••••••• I•••	P••••••• U••••• A•••••••• I•••	Mar 31, 2020

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 17, 2022 to presentfactForm ADV
→ P••••••• U••••• A•••••••• I•••Registered adviserregistration: previous registration
May 21, 2018 to Aug 17, 2022factForm ADV
→ P••••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 19, 2002 to Mar 31, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db8294fe-cd11-73f2-b0de-bb64817c81f1
First observed: Feb 19, 2002
Last observed: Sep 15, 2026 7 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.