DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

V••••• L•••• M••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Miami, FL

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Search this name across graphsid dfx:ria:73d4aba5-d467-485f-29de-eb309d45b230

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 17, 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 29, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jan 3, 2023	n/a	yes	Miami, FL	Current employment
C••••••• • C••• I•••	Former SEC adviser	Feb 11, 2014	Jun 1, 2023	no	MIAMI, FL\|Malden, MA\|MIAMI, FL\|Malden, MA\|MALDEN, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• • C••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Jun 1, 2023	Jan 3, 2023	-149	Bulk transfer	Ibd to ibd
N•• E•••••• S••••••••• C•••••••••	C••••••• • C••• I•••	Feb 18, 2014	Feb 11, 2014

Relationships

Registered with (7)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Jan 3, 2023 to presentfactForm ADV
→ C••••••• • C••• I•••Registered adviserregistration: previous registration
Feb 11, 2014 to Jun 1, 2023factForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Feb 23, 2011 to Feb 18, 2014factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73d4aba5-d467-485f-29de-eb309d45b230
First observed: Mar 17, 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.