DFX Intelligence

R•••••• L•••••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

R•••••• L•••••• H•••••

Advisor at C••••••••• C•••••• M••••••••• I•••

TOTOWA, NJ | Beaver, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:39477855-49a4-9baa-32ab-cb860ee6cbb6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 18, 2003 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••••••••• C•••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 29, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• C•••••• M••••••••• I•••	Independent wealth	Sep 21, 2010	n/a	yes	TOTOWA, NJ\|Beaver, PA	Current employment
C••••• A•••••• N••••••• L••	Former SEC adviser	Oct 24, 2005	Sep 23, 2010	no	PALM SPRINGS, CA\|BEAVER, PA\|EL SEGUNDO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A•••••• N••••••• L••	C••••••••• C•••••• M••••••••• I•••	Sep 23, 2010	Sep 21, 2010	-2	Firm change	Other
B••• V••• S••••••••• L••	C••••• A•••••• N••••••• L••	Dec 31, 2005	Oct 24, 2005

Relationships

Registered with (3)

→ C••••••••• C•••••• M••••••••• I•••Registered adviserregistration: current employment
Sep 21, 2010 to presentfactForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Oct 24, 2005 to Sep 23, 2010factForm ADV
→ B••• V••• S••••••••• L••Registered adviserregistration: previous registration
Sep 18, 2003 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39477855-49a4-9baa-32ab-cb860ee6cbb6
First observed: Sep 18, 2003
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.