DFX Intelligence

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

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RIA / WealthAdvisor29 years in industry

L•••••• A••••• D••••••

Advisor at I••••••••• P•••••• W••••• M••••••••• I•••

SOMERS, NY | Freeport, 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:2c8735d5-15bb-2d8f-4597-9bba63b9d99b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 23, 2008 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: I••••••••• P•••••• W••••• M••••••••• I•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jun 17, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• P•••••• W••••• M••••••••• I•••	Mixed wealth	Jul 16, 2026	n/a	yes	SOMERS, NY\|Freeport, NY	Current employment
I••••••••• F••••• O••••• L••	Former SEC adviser	Mar 5, 2025	Aug 26, 2026	no	Freeport, NY\|SOMERS, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F••••• O••••• L••	I••••••••• P•••••• W••••• M••••••••• I•••	Aug 26, 2026	Jul 16, 2026	-41	Firm change after gap	RIA to RIA
W•••• F•••• A•••••••	I••••••••• F••••• O••••• L••	Mar 11, 2025	Mar 5, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
329496:324586:NY:2026-08-26	Aug 26, 2026	Jul 16, 2026	SOMERS, NY	Firm change after gap
79:11025:NY:2017-11-15	Nov 15, 2017	Nov 3, 2017	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ I••••••••• P•••••• W••••• M••••••••• I•••Registered adviserregistration: current employment
Jul 16, 2026 to presentfactForm ADV
→ I••••••••• F••••• O••••• L••Registered adviserregistration: previous registration
Mar 5, 2025 to Aug 26, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 3, 2017 to Mar 11, 2025factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Aug 26, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 11, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c8735d5-15bb-2d8f-4597-9bba63b9d99b
First observed: Jan 23, 2008
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.