F•••• L•••••

Advisor at R•• C•••••• M••••••• L••

••• Locked

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:42b78d47-95d7-9839-1186-97e6ed1c5d49

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Sep 6, 2017 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••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom 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•• C•••••• M••••••• L••	National bd RIA	May 20, 2022	n/a	yes	NEW YORK, NY\|ST. PETERSBURG, FL\|Lido Beach, NY	Current employment
M••••• S••••••	Wirehouse	Sep 6, 2017	Jun 9, 2022	no	New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R•• C•••••• M••••••• L••	Jun 9, 2022	May 20, 2022	-20	Firm change	Wirehouse to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:31194:NY:2022-06-09	Jun 9, 2022	May 20, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (2)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
May 20, 2022 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Sep 6, 2017 to Jun 9, 2022factForm ADV

Dated events

Occurred
Jun 9, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:42b78d47-95d7-9839-1186-97e6ed1c5d49
First observed: Sep 6, 2017
Last observed: Sep 15, 2026 8 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.