DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

P•••••• C•••••••• M•••••••

Advisor at O•••• A••••••• S•••••••• L••

Holbrook, NY

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Search this name across graphsid dfx:ria:818ab4cd-2987-451d-71a6-a9244b6ca068

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 9, 2015 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: O•••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 4, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• A••••••• S•••••••• L••	Bd affiliated wealth	Oct 12, 2024	n/a	yes	Holbrook, NY	Current employment
A••••••• P••••••••• A•••••••• I••	Former SEC adviser	Jan 2, 2018	Oct 11, 2024	no	HOLBROOK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• P••••••••• A•••••••• I••	O•••• A••••••• S•••••••• L••	Oct 11, 2024	Oct 12, 2024	1	Firm change	Ibd to ibd
P••••••••• P••••••• S•••••••	A••••••• P••••••••• A•••••••• I••	Mar 27, 2018	Jan 2, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
112697:171070:NY:2024-10-11	Oct 11, 2024	Oct 12, 2024	HOLBROOK, NY	Firm change
152702:112697:NY:2018-03-27	Mar 27, 2018	Jan 2, 2018	HOLBROOK, NY	Firm change after gap

Relationships

Registered with (3)

→ O•••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 12, 2024 to presentfactForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 2, 2018 to Oct 11, 2024factForm ADV
→ P••••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Jul 9, 2015 to Mar 27, 2018factForm ADV

Dated events

Occurred
Oct 11, 2024
Advisor changed firm
P•••••• C•••••••• M••••••• left A••••••• P••••••••• A•••••••• I•• for O•••• A••••••• S•••••••• L•• (registered 2024-10-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:818ab4cd-2987-451d-71a6-a9244b6ca068
First observed: Jul 9, 2015
Last observed: Sep 14, 2026 8 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.