DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

C•••••• G•••• L•••••••

Advisor at M••••• S••••••

New York, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 25, 2006 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Mar 17, 2023	n/a	yes	New York, NY\|New York, NY	Current employment
J••• M••••• P•••••• W••••• A••••••• L••	Former SEC adviser	Jun 10, 2022	Apr 10, 2023	no	Newburgh, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• P•••••• W••••• A••••••• L••	M••••• S••••••	Apr 10, 2023	Mar 17, 2023	-24	Firm change	Ibd to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	J••• M••••• P•••••• W••••• A••••••• L••	Jun 14, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
108559:149777:NY:2023-04-10	Apr 10, 2023	Mar 17, 2023	NEWBURGH, NY	Firm change
7691:108559:NY:2022-06-13	Jun 14, 2022	Jun 10, 2022	POUGHKEEPSIE, NY	Firm change

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: current employment
Mar 17, 2023 to presentfactForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Jun 10, 2022 to Apr 10, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 27, 2018 to Jun 14, 2022factForm ADV
→ C••••• S••••• S••••••••• •••• L••

Dated events

Order

Occurred
10 Apr 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
14 Jun 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 25, 2006
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.