DFX Intelligence

M•••••• J••••• S•• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

M•••••• J••••• S•• P•••••

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

Hauppauge, NY

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Search this name across graphsid dfx:ria:68629529-2864-3bb7-4734-c4381865e31a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 24, 2019 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 21, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	May 21, 2021	n/a	yes	Hauppauge, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 24, 2019	Apr 30, 2020	no	SMITHTOWN, NY\|COMMACK, NY\|EAST NORTHPORT, NY\|SMITHTOWN, NY\|SMITHTOWN, NY\|BAYSHORE, NY\|EAST ISLIP, NY\|PORT JEFFERSON, NY\|PLAINVIEW, NY\|BETHPAGE, NY\|NEW YORK, NY\|ROSLYN, NY\|YONKERS, NY\|YONKERS, NY\|YONKERS, NY\|FLUSHING, NY\|EAST MEADOW, NY\|FOREST HILLS, NY\|BAYSIDE, NY\|FRESH MEADOWS, NY\|FLUSHING, NY\|FLUSHING, NY\|COLLEGE POINT, NY\|WHITESTONE, NY\|FOREST HILLS, NY\|COLLEGE POINT, NY\|ISLANDIA, NY\|FLUSHING, NY\|RONKONKOMA, NY\|LONG ISLAND CITY, NY\|FRANKLIN SQUARE, NY\|FLUSHING, NY\|REGO PARK, NY\|ST. JAMES, NY\|SHIRLEY, NY\|JERICHO, NY\|BRENTWOOD, NY\|BROOKLYN, NY\|HICKSVILLE, NY\|NORTH BABYLON, NY\|PLAINVIEW, NY\|EAST MEADOW, NY\|WEST HEMPSTEAD, NY\|SMITHTOWN, NY\|WOODBURY, NY\|SYOSSET, NY\|ISLANDIA, NY\|HAUPPAUGE, NY\|EAST NORTHPORT, NY\|SHIRLEY, NY\|HUNTINGTON STATION, NY\|RONKONKOMA, NY\|LAWRENCE, NY\|NORTH BABYLON, NY\|BROOKLYN, NY\|LITTLE NECK, NY\|LITTLE NECK, NY\|BAYSIDE, NY\|NEW HYDE PARK, NY\|OCEANSIDE, NY\|MERRICK, NY\|MINEOLA, NY\|WEST HEMPSTEAD, NY\|HICKSVILLE, NY\|EAST NORTHPORT, NY\|COMMACK, NY\|HUNTINGTON STATION, NY\|BAYSIDE, NY\|HICKSVILLE, NY\|HICKSVILLE, NY\|GARDEN CITY, NY\|BAY SHORE, NY\|BRENTWOOD, NY\|HICKSVILLE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••• I••••••••• A••••••• L••	Apr 30, 2020	May 21, 2021	386	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:105644:NY:2020-04-30	Apr 30, 2020	May 21, 2021	HICKSVILLE, NY	Firm change

Relationships

Registered with (2)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
May 21, 2021 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 24, 2019 to Apr 30, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68629529-2864-3bb7-4734-c4381865e31a
First observed: May 24, 2019
Last observed: Sep 14, 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.