DFX Intelligence

D•••••• R•••••• L•••••: 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 / WealthAdvisordual registered (broker-dealer)29 years in industry

D•••••• R•••••• L•••••

Advisor at R••••••••• C•••••• M•••••••••

••• 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:4d18742f-4d9f-ac96-9279-23456262e3e4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 26, 2001 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•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Nov 2, 2025	n/a	yes	Palm Beach Gardens, FL	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Jul 17, 2020	n/a	yes	Florham Park, NJ\|Palm Beach Gardens, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R••••••••• C•••••• M•••••••••	Jun 23, 2020	Jul 17, 2020	24	Firm change	Wirehouse to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:291361:NJ:2020-06-23	Jun 23, 2020	Jul 17, 2020	PARAMUS, NJ	Firm change

Relationships

Registered with (3)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Nov 2, 2025 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Jul 17, 2020 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 26, 2001 to Jun 23, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d18742f-4d9f-ac96-9279-23456262e3e4
First observed: Oct 26, 2001
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.