DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

R••••••• K•••••• F••••

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

••• Locked

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Search this name across graphsid dfx:ria:7bd4fbb9-34c4-ba33-fcd6-7fa0ca60c658

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 15, 2002 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: C•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 27, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom 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	Jul 14, 2022	n/a	yes	NEW YORK, NY\|New York, NY\|NEW YORK, NY\|Easton, CT	Current employment
S•••••••• S•••••••••	Bd affiliated wealth	May 15, 2013	Aug 9, 2022	no	Palisades Park, NJ\|SHORT HILLS, NJ\|Cliffside Park, NJ\|Secaucus, NJ\|New York, NY\|Lodi, NJ\|SHORT HILLS, NJ\|BOSTON, MA\|East Orange, NJ\|Livingston, NJ\|Jersey City, NJ\|Scotch Plains, NJ\|Jersey City, NJ\|Jersey City, NJ\|Jersey City, NJ\|Hoboken, NJ\|Jersey City, NJ\|Villanova, PA\|Hoboken, NJ\|Jersey City, NJ\|Jersey City, NJ\|Jersey City, NJ\|Jersey City, NJ\|Boston, MA\|Scotch Plains, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• S•••••••••	C•••••••• G••••• M•••••• I•••	Aug 9, 2022	Jul 14, 2022	-26	Firm change	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	S•••••••• S•••••••••	Dec 31, 2012	May 15, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
41791:7059:NJ:2022-08-03	Aug 9, 2022	Jul 14, 2022	SCOTCH PLAINS, NJ	Firm change

Relationships

Registered with (6)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: current employment
Jul 14, 2022 to presentfactForm ADV
→ S•••••••• S•••••••••Registered adviserregistration: previous registration
May 15, 2013 to Aug 9, 2022factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 24, 2012 to Dec 31, 2012factForm ADV
→ G•••••• F•••••••• C••••

Dated events

Occurred
Aug 9, 2022
Advisor changed firm
R••••••• K•••••• F•••• left S•••••••• S••••••••• for C•••••••• G••••• M•••••• I••• (registered 2022-07-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7bd4fbb9-34c4-ba33-fcd6-7fa0ca60c658
First observed: Oct 15, 2002
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.