DFX Intelligence

C••• A••• S•••••••••: 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 / WealthAdvisor32 years in industry

C••• A••• S•••••••••

Advisor at O••••• I••••••••• A•••••••• I•••

GOSHEN, NY

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:43a52424-96cd-5e16-611b-5677df21e839

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 22, 2015 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: O••••• I••••••••• A•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 3, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••• I••••••••• A•••••••• I•••	Independent wealth	Dec 7, 2022	n/a	yes	GOSHEN, NY	Current employment
A••••••• P••••••••• A•••••••• I••	Former SEC adviser	Nov 12, 2021	Sep 27, 2022	no	HOLBROOK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• P••••••••• A•••••••• I••	O••••• I••••••••• A•••••••• I•••	Sep 27, 2022	Dec 7, 2022	71	Firm change	Ibd to RIA
T• A••••••••• I•••	A••••••• P••••••••• A•••••••• I••	Jan 11, 2021	Nov 12, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
118551:13704:NY:2016-11-23	Nov 29, 2016	Nov 3, 2016	NEW YORK, NY	Firm change

Relationships

Registered with (7)

→ O••••• I••••••••• A•••••••• I•••Registered adviserregistration: current employment
Dec 7, 2022 to presentfactForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 12, 2021 to Sep 27, 2022factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Nov 27, 2019 to Jan 11, 2021factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••

Dated events

Occurred
Sep 27, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43a52424-96cd-5e16-611b-5677df21e839
First observed: Sep 22, 2015
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.