DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

S•••••••• C••••••

Advisor at C••••••••• I••••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:595e98ed-ca86-2e3d-37ad-dada43a9818d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2002 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••••••••• I••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Feb 2, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• I••••••••• L••	Mixed wealth	Dec 19, 2005	n/a	yes	NEW YORK, NY	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Feb 13, 2002	Dec 16, 2005	no	STAMFORD, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	C••••••••• I••••••••• L••	Dec 16, 2005	Dec 19, 2005	3	Bulk transfer	Other

Relationships

Registered with (2)

→ C••••••••• I••••••••• L••Registered adviserregistration: current employment
Dec 19, 2005 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Feb 13, 2002 to Dec 16, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:595e98ed-ca86-2e3d-37ad-dada43a9818d
First observed: Feb 13, 2002
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.