E•••• R••••••

Advisor at C•••••• F••••• A•••••••• L••

NEW YORK, NY | TORONTO

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:28869a40-17f5-2435-c172-357f6fe6897f

Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 20, 2010 to Sep 22, 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••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 16, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••• Q•••••••	Independent wealth	Sep 18, 2026	n/a	yes	NEW YORK, NY\|TORONTO	Current employment
C•••••• F••••• A•••••••• L••	Independent wealth	Jul 20, 2026	n/a	yes	NEW YORK, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	C•••••• F••••• A•••••••• L••	May 28, 2015	Jul 20, 2026	4,071	Firm change after gap	Ibd to RIA
B••••••• C•••••• I•••	R•• C•••••• M••••••• L••	Feb 4, 2014	Jan 17, 2014

Relationships

Registered with (4)

→ C•••••• F••••• A•••••••• L••Registered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Jan 17, 2014 to May 28, 2015factForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Sep 20, 2010 to Feb 4, 2014factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Show 2 bookkeeping events

Occurred
Sep 21, 2026
E•••• R•••••• added a NC registration at P•••• Q•••••••
Occurred
Sep 18, 2026
E•••• R•••••• added a NY registration at P•••• Q•••••••

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28869a40-17f5-2435-c172-357f6fe6897f
First observed: Sep 20, 2010
Last observed: Sep 22, 2026 15 h 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.