DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

C•••••••• M••••••••

Advisor at C••••• I••••••••• A••••••• L••

PEARL RIVER, NY

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Search this name across graphsid dfx:ria:2ae7439a-f6e6-12a1-0b3b-99a95697d82a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 6, 2016 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 9, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 31, 2021	n/a	yes	PEARL RIVER, NY	Current employment
F•••••••• A••••••• S•••••••• L••	Former SEC adviser	Dec 6, 2016	Jun 25, 2019	no	Pearl River, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• A••••••• S•••••••• L••	C••••• I••••••••• A••••••• L••	Jun 25, 2019	Mar 31, 2021	645	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2021 to presentfactForm ADV
→ F•••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Dec 6, 2016 to Jun 25, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2ae7439a-f6e6-12a1-0b3b-99a95697d82a
First observed: Dec 6, 2016
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.