DFX Intelligence

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

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

C•••••• L•••• A•••••

Advisor at T•• A•••••••• I•••

Highlands Ranch, CO | SUMMIT, NJ

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Search this name across graphsid dfx:ria:09bb55b2-efb1-a05e-61ea-096380542557

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 12, 2012 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: T•• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 23, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A•••••••• I•••	Bd affiliated wealth	Sep 3, 2026	n/a	yes	SUMMIT, NJ\|Highlands Ranch, CO	Current employment
T•• A•••••••• I•••	Bd affiliated wealth	Mar 19, 2013	Sep 3, 2026	no	Highlands Ranch, CO\|SUMMIT, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	T•• A•••••••• I•••	Aug 1, 2012	Mar 19, 2013	230	Firm change	Other

Relationships

Registered with (2)

→ T•• A•••••••• I•••Registered adviserregistration: previous registration
Mar 19, 2013 to Sep 3, 2026factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Apr 12, 2012 to Aug 1, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09bb55b2-efb1-a05e-61ea-096380542557
First observed: Apr 12, 2012
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.