DFX Intelligence

E•••••••• A•• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)30 years in industry

E•••••••• A•• R•••••

Advisor at T•• A•••••••• I•••

SUMMIT, NJ | Woodland Hills, CA

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Search this name across graphsid dfx:ria:6186991f-c3f8-02e0-9078-5212937396e1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: May 15, 1996 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: T•• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 3, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A•••••••• I•••	Bd affiliated wealth	Sep 2, 2026	n/a	yes	SUMMIT, NJ\|Woodland Hills, CA	Current employment
F•••••••• • T•• A••••••••• L••	Independent wealth	Jul 14, 2025	Jan 23, 2026	no	Newport, RI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• • T•• A••••••••• L••	T•• A•••••••• I•••	Jan 23, 2026	Sep 2, 2026	222	Firm change	RIA to ibd
A••••••• A••••••• S•••••••• L••	F•••••••• • T•• A••••••••• L••	Jun 24, 2025	Jul 14, 2025

Relationships

Registered with (10)

→ T•• A•••••••• I•••Registered adviserregistration: current employment
Sep 2, 2026 to presentfactForm ADV
→ F•••••••• • T•• A••••••••• L••Registered adviserregistration: previous registration
Jul 14, 2025 to Jan 23, 2026factForm ADV
→ A••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 1, 2021 to Jun 24, 2025factForm ADV
→ A••••••• A••••••• S•••••••

Dated events

Occurred
Jan 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 24, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6186991f-c3f8-02e0-9078-5212937396e1
First observed: May 15, 1996
Last observed: Sep 15, 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.