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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

R•••••• L••

Advisor at C•••••• S••••• • C••• I•••

New York City, 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:5389be47-ab09-4552-dc50-40239cca3ac9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 6, 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 10, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jan 26, 2022	n/a	yes	New York City, NY	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Jul 20, 2017	Sep 7, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Sep 7, 2023	Jan 26, 2022	-589	Bulk transfer	RIA to ibd
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Oct 14, 2022

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
111514:7870:NY:2016-10-04	Oct 4, 2016	Jun 6, 2006	NEW YORK, NY	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
Jul 20, 2017 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jul 20, 2017 to Oct 14, 2022factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5389be47-ab09-4552-dc50-40239cca3ac9
First observed: Jun 6, 2006
Last observed: Sep 14, 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.