DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

D•••• R••••• F••••••••

Advisor at C••••• I••••••••• A••••••• L••

EAST FREEDOM, PA

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Search this name across graphsid dfx:ria:654ba523-ed5f-f2ce-2d72-9e942bcac854

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 17, 1997 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 15, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 21, 2024	n/a	yes	EAST FREEDOM, PA	Current employment
P•••••• W••• F•••••••• C••••••••• I••	Former SEC adviser	Feb 15, 2008	Feb 28, 2012	no	RENTON, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• W••• F•••••••• C••••••••• I••	C••••• I••••••••• A••••••• L••	Feb 28, 2012	Mar 21, 2024	4,405	Firm change after gap	Other
S•••• W••••• M••••••••• L••	P•••••• W••• F•••••••• C••••••••• I••	Feb 15, 2008	Feb 15, 2008

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ P•••••• W••• F•••••••• C••••••••• I••Registered adviserregistration: previous registration
Feb 15, 2008 to Feb 28, 2012factForm ADV
→ S•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 6, 2005 to Feb 15, 2008factForm ADV
→ H• B•••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:654ba523-ed5f-f2ce-2d72-9e942bcac854
First observed: Jun 17, 1997
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.