DFX Intelligence

A••• P••••• B••••••••: 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)38 years in industry

A••• P••••• B••••••••

Advisor at W•••• F•••• A•••••••

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:2700aa39-3b65-2851-10b6-d1827ab39dd6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 20, 1993 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: Oct 1, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jan 13, 2026	n/a	yes	NEW YORK, NY	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jun 29, 2021	Jan 12, 2026	no	NEW YORK, NY\|New York, NY\|Quogue, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	W•••• F•••• A•••••••	Jan 12, 2026	Jan 13, 2026	1	Firm change	Ibd to wirehouse
N••••• • L•••• S••••••••• I•••	C••••••••• F•••••••• N••••••	Jan 27, 2003	Jun 29, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:11025:NY:2026-01-12	Jan 12, 2026	Jan 13, 2026	QUOGUE, NY	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Jan 13, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jun 29, 2021 to Jan 12, 2026factForm ADV
→ N••••• • L•••• S••••••••• I•••Registered adviserregistration: previous registration
Aug 20, 1993 to Jan 27, 2003factForm ADV

Dated events

Occurred
Jan 12, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2700aa39-3b65-2851-10b6-d1827ab39dd6
First observed: Aug 20, 1993
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.