DFX Intelligence

E••• R• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)23 years in industry

E••• R• F••••••

Advisor at R•• R•••••••• L••

••• Locked

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: May 7, 2019 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: R•• R•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• R•••••••• L••	Bd affiliated wealth	May 26, 2022	n/a	yes	NEW YORK, NY\|Ridgewood, NJ\|New York, NY	Current employment
R••• H••• J•••• • A••••••••• L••	Other adviser	May 7, 2019	May 18, 2022	no	Mahwah, NJ\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••• H••• J•••• • A••••••••• L••	R•• R•••••••• L••	May 18, 2022	May 26, 2022	8	Firm change	Other

Relationships

Registered with (2)

→ R•• R•••••••• L••Registered adviserregistration: current employment
May 26, 2022 to presentfactForm ADV
→ R••• H••• J•••• • A••••••••• L••Registered adviserregistration: previous registration
May 7, 2019 to May 18, 2022factForm ADV

Dated events

Occurred
May 18, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 7, 2019
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.