DFX Intelligence

C•••• E•••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

C•••• E•••• S••••••

Advisor at L•• F•••••••• L••

SCOTCH PLAINS, NJ

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Search this name across graphsid dfx:ria:f8131c75-f255-2749-a4ca-52338d96a075

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 23, 2002 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: Jun 10, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	May 7, 2020	n/a	yes	SCOTCH PLAINS, NJ	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Oct 31, 2005	May 11, 2020	no	SCOTCH PLAINS, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	L•• F•••••••• L••	May 11, 2020	May 7, 2020	-4	Firm change	Ibd to ibd
S••••••••• S••••••••• I•••	S•••••••• F••••••••• I•••	Oct 31, 2005	Oct 31, 2005

Team moves

••• Locked

Team	Left	Joined	From	Kind
133763:6413:NJ:2020-05-11	May 11, 2020	May 7, 2020	SCOTCH PLAINS, NJ	Firm change

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 7, 2020 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2005 to May 11, 2020factForm ADV
→ S••••••••• S••••••••• I•••Registered adviserregistration: previous registration
May 23, 2002 to Oct 31, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f8131c75-f255-2749-a4ca-52338d96a075
First observed: May 23, 2002
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.