DFX Intelligence

D•••• P•••• L•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

D•••• P•••• L•••••••••

Advisor at R••••••••• C•••••• M•••••••••

New York, NY | NY, NY

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Search this name across graphsid dfx:ria:106a4401-3e30-23f3-7d94-0de3c1c27956

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Nov 10, 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Oct 20, 2025	n/a	yes	New York, NY\|NY, NY	Current employment
M••••• S••••••	Wirehouse	Sep 2, 2022	Oct 27, 2025	no	New York, NY\|New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R••••••••• C•••••• M•••••••••	Oct 27, 2025	Oct 20, 2025	-7	Firm change	Wirehouse to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	Aug 2, 2022	Sep 2, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:291361:NY:2025-10-13	Oct 27, 2025	Oct 20, 2025	NEW YORK, NY	Firm change
7691:149777:NY:2022-08-02	Aug 2, 2022	Sep 2, 2022	WHITE PLAINS, NY	Firm change

Relationships

Registered with (3)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Oct 20, 2025 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Sep 2, 2022 to Oct 27, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 10, 2021 to Aug 2, 2022factForm ADV

Dated events

Occurred
Oct 27, 2025
Advisor changed firm
D•••• P•••• L••••••••• left M••••• S•••••• for R••••••••• C•••••• M••••••••• (registered 2025-10-20)
Form ADVobserved 7 days ago
Occurred
Aug 2, 2022
Advisor changed firm
D•••• P•••• L••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2022-09-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:106a4401-3e30-23f3-7d94-0de3c1c27956
First observed: Nov 10, 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.