DFX Intelligence

I•• H••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

I•• H••• M••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

New York, NY

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Search this name across graphsid dfx:ria:3ce0b984-0cfa-f109-af7a-049ddb69ccb4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Dec 13, 2002 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 3, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Dec 1, 2025	n/a	yes	New York, NY	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	May 31, 2024	Dec 1, 2025	no	New York, NY\|WALTHAM, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Dec 1, 2025	Dec 1, 2025	0	Firm change	Ibd to ibd
E•••••••• A•••••••• L••	C•• F•••••••• P•••••••• L•••	Jun 6, 2024	Sep 9, 2021

Relationships

Registered with (6)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Dec 1, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
May 31, 2024 to Dec 1, 2025factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 3, 2021 to Jun 6, 2024factForm ADV
→ C•• F•••••••• P•••••••• L•••

Dated events

Occurred
Dec 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 6, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ce0b984-0cfa-f109-af7a-049ddb69ccb4
First observed: Dec 13, 2002
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.