DFX Intelligence

R••••• S••••• W••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

R••••• S••••• W••••••••

Advisor at C•••••• A•••••••

Fort Washington, PA | Naples, FL

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Search this name across graphsid dfx:ria:337d59f1-0fcf-eed7-2c54-38e6c87e27b6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Aug 10, 2004 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: C•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 7, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A•••••••	Bd affiliated wealth	Dec 6, 2023	n/a	yes	Naples, FL	Current employment
L•••••• I•••••••••	Independent wealth	Dec 6, 2023	n/a	yes	Fort Washington, PA\|Naples, FL\|Naples, FL	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	L•••••• I•••••••••	Dec 18, 2023	Dec 6, 2023	-12	Firm change	Ibd to RIA
F•••• A••••• A••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 12, 2020	Nov 23, 2020

Relationships

Registered with (8)

→ C•••••• A•••••••Registered adviserregistration: current employment
Dec 6, 2023 to presentfactForm ADV
→ L•••••• I•••••••••Registered adviserregistration: current employment
Dec 6, 2023 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 23, 2020 to Dec 18, 2023factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••

Dated events

Occurred
Dec 18, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:337d59f1-0fcf-eed7-2c54-38e6c87e27b6
First observed: Aug 10, 2004
Last observed: Sep 15, 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.