DFX Intelligence

C••••••••• L•• F•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst26 years in industry

C••••••••• L•• F•••••••

Advisor at N••• C•••••• M••••••••• L••

MARS, PA | NEW YORK, NY

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Search this name across graphsid dfx:ria:4901e4ab-f406-79e1-07d6-86f1dafab78c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 6, 2019 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: N••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 16, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• C•••••• M••••••••• L••	Independent wealth	Oct 18, 2023	n/a	yes	MARS, PA\|NEW YORK, NY	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Jun 14, 2023	Oct 13, 2023	no	MARS, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••••••• C•••••• M•••••••••	R••••••••• C•••••• M•••••••••	Oct 13, 2023	Jun 14, 2023	-121	Channel change	Ibd to RIA
R••••••••• C•••••• M•••••••••	N••• C•••••• M••••••••• L••	Oct 13, 2023	Oct 18, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
161131:291361:FL:2022-06-30	Jun 30, 2022	Jun 2, 2022	WELLINGTON, FL	Firm change

Relationships

Registered with (4)

→ N••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Oct 18, 2023 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Jun 2, 2022 to Oct 13, 2023factForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Jun 14, 2023 to Oct 13, 2023factForm ADV
→ S•••••••• C•••••• A•••••••• L••

Dated events

Occurred
Oct 13, 2023
Advisor changed firm
C••••••••• L•• F••••••• left R••••••••• C•••••• M••••••••• for N••• C•••••• M••••••••• L•• (registered 2023-10-18)
Form ADVobserved 7 days ago
Occurred
Jun 30, 2022
Advisor changed firm
C••••••••• L•• F••••••• left S•••••••• C•••••• A•••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2022-06-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4901e4ab-f406-79e1-07d6-86f1dafab78c
First observed: Jun 6, 2019
Last observed: Sep 15, 2026 7 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.