DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

A•••••••• D••••••••

Advisor at I••••••• W••••• A••••••• L••

Melville, NY | MELVILLE, NY

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Search this name across graphsid dfx:ria:375e7ffe-8cfd-72e3-a2b7-15428b741464

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 19, 2007 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: I••••••• W••••• A••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 19, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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
I••••••• W••••• A••••••• L••	Independent wealth	Mar 25, 2026	n/a	yes	MELVILLE, NY	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jul 31, 2023	n/a	yes	Melville, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	C••••••••• F•••••••• N••••••	Aug 2, 2023	Jul 31, 2023	-2	Firm change	Ibd to ibd
M••••• S••••••	O•••• W•••••• I•••	Feb 6, 2012	Apr 26, 2021

Relationships

Registered with (5)

→ I••••••• W••••• A••••••• L••Registered adviserregistration: current employment
Mar 25, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jul 31, 2023 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Apr 26, 2021 to Aug 2, 2023factForm ADV
→ M••••• S••••••

Dated events

Occurred
Aug 2, 2023
Advisor changed firm
A•••••••• D•••••••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-07-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:375e7ffe-8cfd-72e3-a2b7-15428b741464
First observed: Oct 19, 2007
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.