DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

C••• I•• A•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Hauppauge, NY | Holland, PA

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Search this name across graphsid dfx:ria:310955d7-19f6-b51a-86b5-ab0d547dcb08

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Dec 13, 2017 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 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: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 19, 2026	n/a	yes	Hauppauge, NY\|Holland, PA	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Oct 30, 2023	Nov 3, 2025	no	Newtown, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Nov 3, 2025	Jun 19, 2026	228	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Oct 20, 2023

Relationships

Registered with (8)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 19, 2026 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 30, 2023 to Nov 3, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 16, 2023 to Oct 20, 2023factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Nov 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 20, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
May 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 28, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:310955d7-19f6-b51a-86b5-ab0d547dcb08
First observed: Dec 13, 2017
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.