DFX Intelligence

L••••••• B•• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst31 years in industry

L••••••• B•• W•••••••

Advisor at C••••• P••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:660bf95e-940c-d053-016b-f9225d2c192a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2005 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 31, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Apr 7, 2022	n/a	yes	NEW YORK, NY	Current employment
B••• W••••• A••••••• L••	Former SEC adviser	Apr 7, 2022	Feb 12, 2025	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• W••••• A••••••• L••	C••••• P••••••• L••	Feb 12, 2025	Apr 7, 2022	-1,042	Firm change after gap	RIA to RIA
L•••••••• T••••••• A•••• M••••••••• I••	B••• W••••• A••••••• L••	Nov 29, 2006	Apr 7, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
289592:151559:NY:2025-02-12	Feb 12, 2025	Apr 7, 2022	NEW YORK, NY	Firm change after gap

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Apr 7, 2022 to presentfactForm ADV
→ B••• W••••• A••••••• L••Registered adviserregistration: previous registration
Apr 7, 2022 to Feb 12, 2025factForm ADV
→ L•••••••• T••••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Jul 26, 2005 to Nov 29, 2006factForm ADV

Dated events

Occurred
Feb 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:660bf95e-940c-d053-016b-f9225d2c192a
First observed: Jul 26, 2005
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.