DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

E••••• E•••••• R•••••

Advisor at F••••• C•••••• A•••••••• L••

PRAIRIE VILLAGE, KS | Staten Island, NY

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Search this name across graphsid dfx:ria:712a1c3d-fb37-752e-f414-c835a207538a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 3, 2009 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: F••••• C•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 21, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••• C•••••• A•••••••• L••	Independent wealth	Aug 2, 2024	n/a	yes	PRAIRIE VILLAGE, KS\|Staten Island, NY	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jun 17, 2019	Jul 19, 2024	no	New York, NY\|Staten Island, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	F••••• C•••••• A•••••••• L••	Jul 19, 2024	Aug 2, 2024	14	Firm change	Ibd to RIA
E•••• S••••••••• L••	M•• I•••••••• S•••••••• L••	May 24, 2019	Jun 17, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
110826:10409:NY:2019-05-10	May 24, 2019	Jun 17, 2019	NEW YORK, NY	Firm change

Relationships

Registered with (7)

→ F••••• C•••••• A•••••••• L••Registered adviserregistration: current employment
Aug 2, 2024 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 17, 2019 to Jul 19, 2024factForm ADV
→ E•••• S••••••••• L••Registered adviserregistration: previous registration
May 4, 2017 to May 24, 2019factForm ADV
→ E•••••••• A•••••••• L••

Dated events

Occurred
Jul 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:712a1c3d-fb37-752e-f414-c835a207538a
First observed: Jun 3, 2009
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.

C•••• I••••••••• S••••••• C••••

Former SEC adviser

Jun 3, 2009

Oct 1, 2012

Previous registration