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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

C••••••••• D• C••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

NEW YORK, NY | GUILFORD, CT

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Search this name across graphsid dfx:ria:047b1027-efe3-cf51-de37-8f80957cb5ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Aug 12, 2016 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 15, 2024	n/a	yes	GUILFORD, CT\|NEW YORK, NY	Current employment
S•••• I••••• S••••••••• L••	Independent wealth	Dec 18, 2023	Feb 29, 2024	no

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
S•••• I••••• S••••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Feb 29, 2024	Aug 15, 2024	168	Firm change	RIA to wirehouse
M••••• S••••••	S•••• I••••• S••••••••• L••	Dec 1, 2023

Relationships

Registered with (7)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 12, 2016 to Mar 15, 2018factForm ADV
→ S•••• I••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 18, 2023 to Feb 29, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 20, 2021 to Dec 1, 2023factForm ADV
→ D••••••• W••••• M•••••••••

Dated events

Occurred
Feb 29, 2024
Advisor changed firm
C••••••••• D• C•••••• left S•••• I••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-08-15)
Form ADVobserved 7 days ago
Occurred
Dec 1, 2023
Advisor changed firm
C••••••••• D• C•••••• left M••••• S•••••• for S•••• I••••• S••••••••• L•• (registered 2023-12-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:047b1027-efe3-cf51-de37-8f80957cb5ab
First observed: Aug 12, 2016
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.