DFX Intelligence

D•••• A•••• V••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

D•••• A•••• V••••••

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

TARRYTOWN, NY

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Search this name across graphsid dfx:ria:2b9b683e-635a-f553-eb64-d62c15cbbc9b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 11, 2010 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: Mar 16, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 31, 2021	n/a	yes	TARRYTOWN, NY	Current employment
P•••••• W••••• A•••••••• L••	Independent wealth	Jun 14, 2017	Dec 6, 2024	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• W••••• A•••••••• L••	C••••• I••••••••• A••••••• L••	Dec 6, 2024	Mar 31, 2021	-1,346	Firm change after gap	RIA to ibd
F•••• A••••• A••••••• S•••••••• I•••	P•••••• W••••• A•••••••• L••	Nov 12, 2020	Jun 14, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
137888:120358:NY:2020-11-12	Nov 12, 2020	Jun 14, 2017	NEW YORK, NY	Firm change after gap

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2021 to presentfactForm ADV
→ P•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 14, 2017 to Dec 6, 2024factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 26, 2012 to Nov 12, 2020factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Dec 6, 2024
Advisor changed firm
D•••• A•••• V•••••• left P•••••• W••••• A•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2021-03-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b9b683e-635a-f553-eb64-d62c15cbbc9b
First observed: Feb 11, 2010
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.