DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

R••••• D•••••• H•••••••••

Advisor at C••••••••• P•••••••• R••••• C•••

Locust Valley, NY | WOODBURY, NY

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Search this name across graphsid dfx:ria:64bfcd95-821e-1421-febf-32a43d3a373c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 29, 2013 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••••••••• P•••••••• R••••• C•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 11, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• P•••••••• R••••• C•••	Independent wealth	Feb 9, 2021	n/a	yes	WOODBURY, NY\|Locust Valley, NY	Current employment
3• W••••• R••• L••	Former SEC adviser	May 8, 2019	Jul 17, 2019	no	LOCUST VALLEY, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
3• W••••• R••• L••	C••••••••• P•••••••• R••••• C•••	Jul 17, 2019	Feb 9, 2021	573	Firm change after gap	RIA to RIA
C••••••••• P•••••••• R••••• C•••	3• W••••• R••• L••	Dec 31, 2016	May 8, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
289081:112694:NY:2019-07-17	Jul 17, 2019	Feb 9, 2021	LOCUST VALLEY, NY	Firm change after gap
112694:289081:NY:2016-12-31	Dec 31, 2016	May 8, 2019	WOODBURY, NY	Firm change after gap

Relationships

Registered with (3)

→ C••••••••• P•••••••• R••••• C•••Registered adviserregistration: previous registration
Jul 28, 2014 to Dec 31, 2016factForm ADV
→ 3• W••••• R••• L••Registered adviserregistration: previous registration
May 8, 2019 to Jul 17, 2019factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 29, 2013 to Jul 23, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64bfcd95-821e-1421-febf-32a43d3a373c
First observed: Aug 29, 2013
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.