DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

L••• S•••• C•••••••

Advisor at C•••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:0efd23b8-0eb2-82db-4469-8ac9404539f4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2004 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•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A•••••••	Bd affiliated wealth	Nov 23, 2015	n/a	yes	Marlton, NJ	Current employment
L•••••• I•••••••••	Independent wealth	Jan 29, 2008	n/a	yes	Fort Washington, PA\|Hainesport, NJ	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••• A•••••••• L••	L•••••• I•••••••••	Jan 28, 2008	Jan 29, 2008	1	Firm change	Other

Relationships

Registered with (3)

→ C•••••• A•••••••Registered adviserregistration: current employment
Nov 23, 2015 to presentfactForm ADV
→ L•••••• I•••••••••Registered adviserregistration: current employment
Jan 29, 2008 to presentfactForm ADV
→ L••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 18, 2004 to Jan 28, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0efd23b8-0eb2-82db-4469-8ac9404539f4
First observed: Nov 18, 2004
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.