DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

C•••• O••••• A•••••••

Advisor at C••••• I••••••••• A••••••• L••

CLEVELAND, OH | BETHLEHEM, PA

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Search this name across graphsid dfx:ria:0ead55e4-b2c5-8cf2-a036-94c94f4927c4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2006 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 18, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	BETHLEHEM, PA	Current employment
V•••••• F•••••••• G••••• I•••	Independent wealth	Jan 21, 2010	n/a	yes	BETHLEHEM, PA\|CLEVELAND, OH	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• S••••• S••••••••• I•••	C••••• I••••••••• A••••••• L••	Sep 3, 2013	Jun 29, 2023	3,586	Firm change after gap	Other
L•• F•••••••• L••	V•••••• F•••••••• G••••• I•••	Dec 10, 2009	Jan 21, 2010

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ V•••••• F•••••••• G••••• I•••Registered adviserregistration: current employment
Jan 21, 2010 to presentfactForm ADV
→ W••••• S••••• S••••••••• I•••Registered adviserregistration: previous registration
May 25, 2010 to Sep 3, 2013factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ead55e4-b2c5-8cf2-a036-94c94f4927c4
First observed: Jan 20, 2006
Last observed: Sep 15, 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.