DFX Intelligence

R••••• B•••• D••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R••••• B•••• D••••••••

Advisor at W••••••••• C•••••• S••••••••• L••

GARDEN CITY, NY | Naples, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2005 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••••••••• C•••••• S••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 31, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• C•••••• S••••••••• L••	Independent wealth	Jun 17, 2014	n/a	yes	GARDEN CITY, NY\|GARDEN CITY, NY\|Naples, FL	Current employment
C•••• D•••• • C••• I•••	n/a	Mar 27, 2007	Mar 11, 2008	no	NEW YORK, NY\|GARDEN CITY, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• D•••• • C••• I•••	W••••••••• C•••••• S••••••••• L••	Mar 11, 2008	Jun 17, 2014	2,289	Firm change after gap	Other
S••• B••• • C••••••	C•••• D•••• • C••• I•••	Mar 1, 2007	Mar 27, 2007

Relationships

Registered with (3)

→ W••••••••• C•••••• S••••••••• L••Registered adviserregistration: current employment
Jun 17, 2014 to presentfactForm ADV
→ C•••• D•••• • C••• I•••Registered adviserregistration: previous registration
Mar 27, 2007 to Mar 11, 2008factForm ADV
→ S••• B••• • C••••••Registered adviserregistration: previous registration
Nov 23, 2005 to Mar 1, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 23, 2005
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.