DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

L••••••• S••• B••••

Advisor at W•••• F•••• A•••••••

NEW YORK, NY

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Search this name across graphsid dfx:ria:160483b1-16b1-7773-2836-3ee580bf8d57

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 20, 1997 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 29, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Feb 9, 2011	n/a	yes	NEW YORK, NY\|NEW YORK, NY	Current employment
B••• O•• S••••••••• C•••••••••	n/a	Oct 18, 2004	Jul 21, 2005	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• I••••••••• S••••••• C••••	B••• O•• S••••••••• C•••••••••	Feb 8, 2011	Oct 18, 2004	-2,304	Firm change after gap	Other
B••• O•• S••••••••• C•••••••••	W•••• F•••• A•••••••	Jul 21, 2005	Feb 9, 2011

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Feb 9, 2011 to presentfactForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Aug 20, 1997 to Feb 8, 2011factForm ADV
→ B••• O•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Oct 18, 2004 to Jul 21, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:160483b1-16b1-7773-2836-3ee580bf8d57
First observed: Aug 20, 1997
Last observed: Sep 14, 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.

C•••• I••••••••• S••••••• C••••

Former SEC adviser

Aug 20, 1997

Feb 8, 2011

Previous registration