DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)21 years in industry

C•••••••• M••••••• B••••••

Advisor at R•• C•••••• M••••••• L••

BALTIMORE, MD | HUNT VALLEY, MD

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Search this name across graphsid dfx:ria:5c6c09e8-f65f-e17f-51c9-77ca0aaa0720

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2004 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 10, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Oct 3, 2017	n/a	yes	HUNT VALLEY, MD\|BALTIMORE, MD	Current employment
H•• F•••••••• G••••	Independent wealth	Dec 11, 2012	Sep 18, 2017	no	ELLICOTT CITY, MD	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•• F•••••••• G••••	R•• C•••••• M••••••• L••	Sep 18, 2017	Oct 3, 2017	15	Firm change	Other
W•• P•••••••• L••	H•• F•••••••• G••••	Jun 18, 2012	Dec 11, 2012

Relationships

Registered with (6)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Oct 3, 2017 to presentfactForm ADV
→ H•• F•••••••• G••••Registered adviserregistration: previous registration
Dec 11, 2012 to Sep 18, 2017factForm ADV
→ W•• P•••••••• L••Registered adviserregistration: previous registration
Jul 8, 2011 to Jun 18, 2012factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c6c09e8-f65f-e17f-51c9-77ca0aaa0720
First observed: Nov 10, 2004
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.