DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

M•••••• B•••• S•••••••

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

••• Locked

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Search this name across graphsid dfx:ria:116229a7-ae14-7f22-5b6c-fc1b9fdff1f4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Apr 26, 2023 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	May 1, 2025	n/a	yes	Smithtown, NY\|WALTHAM, MA\|Denver, CO	Current employment
C•••••• A•••••••	Bd affiliated wealth	Apr 26, 2023	May 1, 2025	no	Smithtown, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• A•••••••	C••••••••• F•••••••• N••••••	May 1, 2025	May 1, 2025	0	Firm change	Ibd to ibd
L•••••• I•••••••••	C•••••• A•••••••	May 1, 2025	Apr 26, 2023

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ C•••••• A•••••••Registered adviserregistration: previous registration
Apr 26, 2023 to May 1, 2025factForm ADV
→ L•••••• I•••••••••Registered adviserregistration: previous registration
Apr 26, 2023 to May 1, 2025factForm ADV

Dated events

Occurred
May 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:116229a7-ae14-7f22-5b6c-fc1b9fdff1f4
First observed: Apr 26, 2023
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.