DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

C•••••• R•••••• C•••••••••

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

New York, NY | Orangeburg, NY

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Search this name across graphsid dfx:ria:68d3cead-8d05-f4b3-36bc-d657fee3b9c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 5, 1998 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•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 24, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom 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	Jun 17, 2022	n/a	yes	New York, NY\|Orangeburg, NY	Current employment
P•• W••••• M•••••••••	Bd affiliated wealth	Dec 2, 2016	May 18, 2022	no	MILLBURN, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•• W••••• M•••••••••	C•••••••• G••••• M•••••• I•••	May 18, 2022	Jun 17, 2022	30	Firm change	Ibd to ibd
H••• S••••••••• •••• I•••	P•• W••••• M•••••••••	Dec 9, 2016	Dec 2, 2016

Relationships

Registered with (6)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: current employment
Jun 17, 2022 to presentfactForm ADV
→ P•• W••••• M•••••••••Registered adviserregistration: previous registration
Dec 2, 2016 to May 18, 2022factForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Jun 28, 2006 to Dec 9, 2016factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

Occurred
May 18, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68d3cead-8d05-f4b3-36bc-d657fee3b9c9
First observed: Feb 5, 1998
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.

H••• S••••••••• •••• I•••

Bd affiliated wealth

Jun 28, 2006

Dec 9, 2016

Previous registration