DFX Intelligence

A•••• B••• L•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

A•••• B••• L•••••••••

Advisor at O••••••••• • C•• I•••

NEW YORK, NY

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Search this name across graphsid dfx:ria:015fe9c0-c3c9-d542-1457-609439a7be26

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 26, 2011 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: O••••••••• • C•• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 20, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• • C•• I•••	Bd affiliated wealth	Mar 10, 2022	n/a	yes	NEW YORK, NY	Current employment
J••••• M••••••••• S•••• L••	Bd affiliated wealth	Mar 11, 2015	Mar 2, 2022	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••••• M••••••••• S•••• L••	O••••••••• • C•• I•••	Mar 2, 2022	Mar 10, 2022	8	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	J••••• M••••••••• S•••• L••	Mar 12, 2015	Mar 11, 2015

Relationships

Registered with (3)

→ O••••••••• • C•• I•••Registered adviserregistration: current employment
Mar 10, 2022 to presentfactForm ADV
→ J••••• M••••••••• S•••• L••Registered adviserregistration: previous registration
Mar 11, 2015 to Mar 2, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 26, 2011 to Mar 12, 2015factForm ADV

Dated events

Occurred
Mar 2, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:015fe9c0-c3c9-d542-1457-609439a7be26
First observed: May 26, 2011
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.