DFX Intelligence

C••••••••• A•••• P••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

C••••••••• A•••• P••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

JACKSONVILLE, FL | PENNINGTON, NJ

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Search this name across graphsid dfx:ria:7ed9a584-7e32-a9a3-6fae-8b1308c9995e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 3, 2007 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 29, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jun 6, 2016	n/a	yes	PENNINGTON, NJ\|JACKSONVILLE, FL	Current employment
S•••••••• A••••••• L••	National bd RIA	May 11, 2015	Jun 2, 2016	no	JACKSONVILLE, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jun 2, 2016	Jun 6, 2016	4	Firm change	Ibd to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••••• A••••••• L••	Apr 21, 2015	May 11, 2015

Relationships

Registered with (2)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 7, 2009 to Apr 21, 2015factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
May 11, 2015 to Jun 2, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7ed9a584-7e32-a9a3-6fae-8b1308c9995e
First observed: Jul 3, 2007
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.