DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

M•••••• R•• P••••

Advisor at C••••••••• F•••••••• N••••••

••• Locked

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Search this name across graphsid dfx:ria:25557f88-414b-1808-a926-3a869f2b38b6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2007 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Oct 16, 2017	n/a	yes	Lawrenceville, NJ\|Great Neck, NY\|New York, NY\|Bridgehampton, NY	Current employment
O••••••• P••••••• P••••••• S••••••••• L••	Former SEC adviser	Sep 16, 2013	Dec 14, 2017	no	ROCKVILLE, MD

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
O••••••• P••••••• P••••••• S••••••••• L••	C••••••••• F•••••••• N••••••	Dec 14, 2017	Oct 16, 2017	-59	Firm change after gap	RIA to ibd
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	O••••••• P••••••• P••••••• S••••••••• L••	Oct 16, 2017

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Oct 16, 2017 to presentfactForm ADV
→ O••••••• P••••••• P••••••• S••••••••• L••Registered adviserregistration: previous registration
Sep 16, 2013 to Dec 14, 2017factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Feb 1, 2007 to Oct 16, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25557f88-414b-1808-a926-3a869f2b38b6
First observed: Feb 1, 2007
Last observed: Sep 15, 2026 7 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.