DFX Intelligence

Data Factory

R••••• L••••••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorChartered Financial Analyst35 years in industry

R••••• L••••••• M••••

Advisor at C••••••

New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14847a91-6561-725a-32e7-b4fbea298211

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 16, 1991 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: C••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 16, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••	Independent wealth	Feb 17, 2023	n/a	yes	New York, NY	Current employment
R•••••••• I•••••••••	Former SEC adviser	Jul 15, 2021	Oct 17, 2024	no	MIAMI, FL\|New York, NY\|New York, NY\|New York, NY

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••••• I•••••••••	C••••••	Oct 17, 2024	Feb 17, 2023	-608	Firm change after gap	RIA to RIA
E•••••• M•••• A••••••••• I•••	R•••••••• I•••••••••	Mar 16, 2007

Relationships

Registered with (3)

→ C••••••Registered adviserregistration: current employment
Feb 17, 2023 to presentfactForm ADV
→ R•••••••• I•••••••••Registered adviserregistration: previous registration
Jul 15, 2021 to Oct 17, 2024factForm ADV
→ E•••••• M•••• A••••••••• I•••Registered adviserregistration: previous registration
Sep 16, 1991 to Mar 16, 2007factForm ADV

Dated events

Occurred
Oct 17, 2024
Advisor changed firm
R••••• L••••••• M•••• left R•••••••• I••••••••• for Corient (registered 2023-02-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14847a91-6561-725a-32e7-b4fbea298211
First observed: Sep 16, 1991
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.