DFX Intelligence

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

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

C••• M•••••• W••••

Advisor at C••••••••• F•••••••• N••••••

Southampton, NJ | Toms River, NJ

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Search this name across graphsid dfx:ria:5c9a20a0-0a25-f003-85fc-ccf3cac0d359

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 8, 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 28, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Dec 2, 2024	n/a	yes	Southampton, NJ\|Toms River, NJ	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 6, 2006	Dec 26, 2024	no	LAKEWOOD, NJ\|TOMS RIVER, NJ\|NEW BRUNSWICK, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••••••• F•••••••• N••••••	Dec 26, 2024	Dec 2, 2024	-24	Firm change	Ibd to ibd
N•• C•••••• F•••••••• G••••• L••	L•• F•••••••• L••	Mar 17, 2006	Mar 6, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:8032:NJ:2024-12-16	Dec 26, 2024	Dec 2, 2024	NEW BRUNSWICK, NJ	Firm change

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Dec 2, 2024 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 6, 2006 to Dec 26, 2024factForm ADV
→ N•• C•••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jul 8, 2004 to Mar 17, 2006factForm ADV

Dated events

Occurred
Dec 26, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c9a20a0-0a25-f003-85fc-ccf3cac0d359
First observed: Jul 8, 2004
Last observed: Sep 14, 2026 9 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.