DFX Intelligence

R•••••• P•••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor43 years in industry

R•••••• P•••• A••••

Advisor at C••••••••• F•••••••• N••••••

West Harrison, NY

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Search this name across graphsid dfx:ria:0aa1adf5-6e5d-316e-5b9c-44dfa52da651

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 22, 2021 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 1, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jun 8, 2022	n/a	yes	West Harrison, NY	Current employment
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 22, 2021	Jun 7, 2022	no	AUSTIN, TX\|Tarrytown, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K••••• A••••••• S•••••••• L••	C••••••••• F•••••••• N••••••	Jun 7, 2022	Jun 8, 2022	1	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
283330:8032:NY:2022-06-07	Jun 7, 2022	Jun 8, 2022	TARRYTOWN, NY	Firm change

Relationships

Registered with (2)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jun 8, 2022 to presentfactForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 22, 2021 to Jun 7, 2022factForm ADV

Dated events

Occurred
Jun 7, 2022
Advisor changed firm
R•••••• P•••• A•••• left K••••• A••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-06-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0aa1adf5-6e5d-316e-5b9c-44dfa52da651
First observed: Jun 22, 2021
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.