DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

P•••••• M•••• S•••••

Advisor at C••••••• S••••••••• I•••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 8, 2006 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••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 31, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• I•••	Bd affiliated wealth	May 28, 2024	n/a	yes	Hamilton, NJ\|Mercerville, NJ\|Lawrenceville, NJ\|CONSHOHOCKEN, PA\|EAST WINDSOR, NJ	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Dec 22, 2021	May 14, 2024	no	NEW YORK, NY\|New York, NY\|Uniondale, NY\|NEW YORK, NY\|Fort Mill, SC\|Fort Lee, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	C••••••• S••••••••• I•••	May 14, 2024	May 28, 2024	14	Firm change	Ibd to ibd
H••• S••••••••• •••• I•••	C•••••••• G••••• M•••••• I•••	Nov 2, 2021	Dec 22, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
19585:7059:NY:2021-11-02	Nov 2, 2021	Dec 22, 2021	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
May 28, 2024 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Dec 22, 2021 to May 14, 2024factForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Jun 8, 2006 to Nov 2, 2021factForm ADV

Dated events

Order

Occurred
14 May 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 8, 2006
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.