DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

S•••• D•••••• S••••••

Advisor at C•••••••• G••••• M•••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:6708f73a-213c-b8bd-daeb-1fb1dafc4896

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2008 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•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 6, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Nov 1, 2021	n/a	yes	Long Island City, NY\|Whitestone, NY\|New York, NY	Current employment
O•••• I••••••••• I•••	Bd affiliated wealth	Sep 5, 2018	Oct 29, 2021	no	NEW YORK, NY\|New York, NY

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
O•••• I••••••••• I•••	C•••••••• G••••• M•••••• I•••	Oct 29, 2021	Nov 1, 2021	3	Firm change	Ibd to ibd
S•••••• C•••••• P•••••• W••••• M••••••••• L••	O•••• I••••••••• I•••	Aug 24, 2018	Sep 5, 2018

Relationships

Registered with (6)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: current employment
Nov 1, 2021 to presentfactForm ADV
→ O•••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 5, 2018 to Oct 29, 2021factForm ADV
→ S•••••• C•••••• P•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 13, 2018 to Aug 24, 2018factForm ADV
→ A•••• C•••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6708f73a-213c-b8bd-daeb-1fb1dafc4896
First observed: Jan 3, 2008
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.