L••••• C•••••••

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:e99e7793-0a45-1257-d041-b955272d5a66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 3, 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 public••• Locked
Industry start: Mar 16, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	Sep 30, 2020	n/a	yes	SHELTON, CT	Current employment
N•••••••• W••••• P••••••• L••	Former SEC adviser	Nov 30, 2015	Sep 30, 2020	no	Shelton, CT\|WEST HARTFORD, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••••• W••••• P••••••• L••	L•• F•••••••• L••	Sep 30, 2020	Sep 30, 2020	0	Firm change	RIA to ibd
M•• F•••••••• S•••••••• I•••	N•••••••• W••••• P••••••• L••	Nov 30, 2015	Nov 30, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
169409:6413:CT:2020-09-30	Sep 30, 2020	Sep 30, 2020	WEST HARTFORD, CT	Firm change
14251:169409:CT:2015-11-30	Nov 30, 2015	Nov 30, 2015	NORWALK, CT	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 30, 2020 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
Apr 3, 2003 to Nov 30, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e99e7793-0a45-1257-d041-b955272d5a66
First observed: Apr 3, 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.