DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

S•••••• C•••• B••••••

Advisor at R•• R•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:73484a76-91e4-652c-ad1f-1b5e9303d954

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2004 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: R•• R•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 2, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• R•••••••• L••	Bd affiliated wealth	Feb 16, 2010	n/a	yes	NEW YORK, NY\|LAKE MARY, FL\|Oviedo, FL	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Sep 27, 2004	Aug 3, 2009	no	FORT LAUDERDALE, FL\|FORT LAUDERDALE, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•• R•••••••• L••	Aug 3, 2009	Feb 16, 2010	197	Firm change	Other

Relationships

Registered with (2)

→ R•• R•••••••• L••Registered adviserregistration: current employment
Feb 16, 2010 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 27, 2004 to Aug 3, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73484a76-91e4-652c-ad1f-1b5e9303d954
First observed: Sep 27, 2004
Last observed: Sep 15, 2026 7 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.