DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner42 years in industry

D••••• R••••• S••••••••

Advisor at W•• I••••••••• L••

RED BANK, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 24, 2014 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: W•• I••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom 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
H••••••••• G••••• L••	No RAUM reported	Oct 12, 2009	n/a	yes	RED BANK, NJ	Current employment
W•• I••••••••• L••	Independent wealth	May 4, 2006	n/a	yes	RED BANK, NJ	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••••• S••••••••• L••	n/a	Feb 19, 2015	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (3)

→ H••••••••• G••••• L••Registered adviserregistration: current employment
Oct 12, 2009 to presentfactForm ADV
→ W•• I••••••••• L••Registered adviserregistration: current employment
May 4, 2006 to presentfactForm ADV
→ M••••••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 24, 2014 to Feb 19, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 24, 2014
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.