DFX Intelligence

D•••••• J••••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

D•••••• J••••• M••••••

Advisor at R••• P•••••• W••••• M•••••••••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 11, 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: R••• P•••••• W••••• M•••••••••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Nov 6, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••• P•••••• W••••• M•••••••••	Former SEC adviser	Sep 11, 2026	n/a	yes	Warwick, NY\|BEDFORD, NH	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 23, 2013	n/a	yes	RYE BROOK, NY\|Warwick, NY\|Warwick, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• A•••••••• L••	A••••••••• F•••••••• S•••••••• L••	May 22, 2013	May 23, 2013	1	Firm change	Other
M••••• S••••••	H•••••••• A•••••••• L••	Mar 12, 2010	Feb 12, 2010

Relationships

Registered with (5)

→ R••• P•••••• W••••• M•••••••••Registered adviserregistration: current employment
Sep 11, 2026 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
May 23, 2013 to presentfactForm ADV
→ H•••••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 12, 2010 to May 22, 2013factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 11, 2006
Last observed: Sep 15, 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.