DFX Intelligence

R••••• B•••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

R••••• B•••••• S••••

Advisor at C••••••••• I••••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:0cea0b4d-5c19-f324-e10c-bf6e404050e4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 12, 2005 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••••••••• I••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Mar 16, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• I••••••••• L••	Mixed wealth	Jan 24, 2023	n/a	yes	NEW YORK, NY	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	May 12, 2005	Dec 21, 2005	no	STAMFORD, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	C••••••••• I••••••••• L••	Dec 21, 2005	Jan 24, 2023	6,243	Bulk transfer	Other

Relationships

Registered with (2)

→ C••••••••• I••••••••• L••Registered adviserregistration: current employment
Jan 24, 2023 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 12, 2005 to Dec 21, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0cea0b4d-5c19-f324-e10c-bf6e404050e4
First observed: May 12, 2005
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.