DFX Intelligence

T••••• M•••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

T••••• M•••••• G•••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

GOSHEN, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 13, 2006 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•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 26, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Dec 23, 2015	n/a	yes	GOSHEN, NY	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 13, 2006	May 18, 2015	no	MIDDLETOWN, NY\|MIDDLETOWN, NY\|GOSHEN, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	May 18, 2015	Dec 23, 2015	219	Firm change	Other

Relationships

Registered with (2)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Dec 23, 2015 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 13, 2006 to May 18, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 13, 2006
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.