DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

P••••• L•••• C•••••••

Advisor at C•••••• C••••• G••••• I•••

LOS ANGELES, CA | North Caldwell, NJ

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Search this name across graphsid dfx:ria:5b513dc7-7150-54c4-55dc-c2719f47a1c4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 5, 2004 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: C•••••• C••••• G••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Feb 11, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• C••••• G••••• I•••	No RAUM reported	Jun 9, 2016	n/a	yes	LOS ANGELES, CA\|North Caldwell, NJ	Current employment
B•••••••• F•••••••• M••••••••• I••	Other adviser	May 31, 2006	May 24, 2016	no	NEW YORK, NY\|PRINCETON, NJ\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••• F•••••••• M••••••••• I••	C•••••• C••••• G••••• I•••	May 24, 2016	Jun 9, 2016	16	Firm change	Other
B•••••••• C•••••• M••••••••• I•••	B•••••••• F•••••••• M••••••••• I••	Jun 1, 2006	May 31, 2006

Relationships

Registered with (3)

→ C•••••• C••••• G••••• I•••Registered adviserregistration: current employment
Jun 9, 2016 to presentfactForm ADV
→ B•••••••• F•••••••• M••••••••• I••Registered adviserregistration: previous registration
May 31, 2006 to May 24, 2016factForm ADV
→ B•••••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Oct 5, 2004 to Jun 1, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b513dc7-7150-54c4-55dc-c2719f47a1c4
First observed: Oct 5, 2004
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.