DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)37 years in industry

M•••••• P••• B•••••••

Advisor at O•••• W•••••• I•••

PORT JEFFERSON STATION, NY

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Search this name across graphsid dfx:ria:2e010bbf-ab59-dc72-4057-f34f9e48d899

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 30, 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 12, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	n/a	yes	PORT JEFFERSON STATION, NY	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Jun 26, 2020	Jun 14, 2024	no	PORT JEFFERSON STATION, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
E•••••••• A•••••••• L••	S••••••••• A•••••• A•••••••• I•••	Jul 2, 2020	Jun 26, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
6627:110518:NY:2020-06-30	Jul 2, 2020	Jun 26, 2020	MT SINAI, NY	Firm change

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 26, 2020 to Jun 14, 2024factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 28, 2016 to Jul 2, 2020factForm ADV
→ E•••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e010bbf-ab59-dc72-4057-f34f9e48d899
First observed: Aug 30, 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.