DFX Intelligence

D•••• A••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner32 years in industry

D•••• A••••• S••••

Advisor at A••• A••••••• P•••••••

NEW YORK, NY

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Search this name across graphsid dfx:ria:1a30aadd-a028-f1eb-9931-9b91cc77aa92

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 13, 1999 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: A••• A••••••• P•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 28, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••• A••••••• P•••••••	Bd affiliated wealth	Jan 20, 2005	n/a	yes	NEW YORK, NY	Current employment
U•••••••• S••••••••• I•••	n/a	Jul 22, 2003	Jan 26, 2005	no	DENVER, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••••••• S••••••••• I•••	A••• A••••••• P•••••••	Jan 26, 2005	Jan 20, 2005	-6	Firm change	Other
E•••••••• A•••••••• L••	U•••••••• S••••••••• I•••	May 29, 2003	Jul 22, 2003

Relationships

Registered with (3)

→ A••• A••••••• P•••••••Registered adviserregistration: current employment
Jan 20, 2005 to presentfactForm ADV
→ U•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 22, 2003 to Jan 26, 2005factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 13, 1999 to May 29, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a30aadd-a028-f1eb-9931-9b91cc77aa92
First observed: Dec 13, 1999
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.