DFX Intelligence

P•••• D•••• G•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

P•••• D•••• G•••

Advisor at C•••••• S••••• • C••• I•••

Huntington Station, NY

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Search this name across graphsid dfx:ria:4a1bf83d-5f28-5c47-8afb-f1f6a9883e55

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 16, 2013 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 13, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jan 26, 2022	n/a	yes	Huntington Station, NY	Current employment
T• A••••••••• I•••	Former SEC adviser	Sep 17, 2013	Oct 14, 2022	no	Huntington Station, NY\|New York, NY\|OMAHA, NE

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Sep 7, 2023	Sep 17, 2013	-3,642	Channel change	Other
T• A••••••••• I•••	C•••••• S••••• • C••• I•••	Oct 14, 2022	Jan 26, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
111514:7870:NY:2023-09-07	Sep 7, 2023	Sep 17, 2013	HUNTINGTON STATION, NY	Firm change after gap
7870:5393:NE:2022-10-14	Oct 14, 2022	Jan 26, 2022	OMAHA, NE	Firm change after gap

Relationships

Registered with (3)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 16, 2013 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Sep 17, 2013 to Oct 14, 2022factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a1bf83d-5f28-5c47-8afb-f1f6a9883e55
First observed: Sep 16, 2013
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.