DFX Intelligence

M•••••• W•••• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

M•••••• W•••• O•••••

Advisor at R••••••••• C•••••• M•••••••••

••• Locked

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Search this name across graphsid dfx:ria:3714cf33-1c29-285f-7a35-35e84233f875

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 24, 1996 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Aug 9, 2024	n/a	yes	MOUNT PLEASANT, SC\|NEW YORK, NY\|NY, NY	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Nov 29, 2018	n/a	yes	MOUNT PLEASANT, SC\|NEW YORK, NY\|New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R••••••••• C•••••• M•••••••••	Nov 3, 2018	Nov 29, 2018	26	Firm change	Wirehouse to new firm
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (5)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Aug 9, 2024 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Nov 29, 2018 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Nov 3, 2018factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3714cf33-1c29-285f-7a35-35e84233f875
First observed: Oct 24, 1996
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.