DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)36 years in industry

M••• L•••••••

Advisor at B• R•••• W••••• A•••••••• I•••

East Hampton, NY

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Search this name across graphsid dfx:ria:702f4f8e-17f1-86b0-3c49-f912612b2cee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 5, 2012 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: B• R•••• W••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 19, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom 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
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	Jun 23, 2021	n/a	yes	East Hampton, NY	Current employment
F•••••• L••• A•••• M••••••••• L••	Former SEC adviser	Nov 5, 2012	Dec 4, 2013	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••• L••• A•••• M••••••••• L••	B• R•••• W••••• A•••••••• I•••	Dec 4, 2013	Jun 23, 2021	2,758	Firm change after gap	Other

Relationships

Registered with (2)

→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jun 23, 2021 to presentfactForm ADV
→ F•••••• L••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Nov 5, 2012 to Dec 4, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:702f4f8e-17f1-86b0-3c49-f912612b2cee
First observed: Nov 5, 2012
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.