DFX Intelligence

S•••••• R••••• J••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor15 years in industry

S•••••• R••••• J••••••

Advisor at C••• L••

••• Locked

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Search this name across graphsid dfx:ria:844c08a3-60ff-53ec-3c3a-365351d9ba66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 11, 2011 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••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 29, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jan 16, 2024	n/a	yes	OMAHA, NE\|Westport, CT\|Red Bank, NJ	Current employment
P••••••• U••••• A•••••••• I•••	Former SEC adviser	Apr 3, 2018	Dec 31, 2022	no	New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• U••••• A•••••••• I•••	C••• L••	Dec 31, 2022	Jan 16, 2024	381	Firm change	RIA to ibd
P••••••• S••••••••• I•••	P••••••• U••••• A•••••••• I•••	Mar 31, 2020	Apr 3, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
118551:13704:NY:2016-11-23	Nov 29, 2016	Nov 3, 2016	NEW YORK, NY	Firm change
14251:118551:CT:2016-03-03	Mar 3, 2016	Mar 22, 2016	STAMFORD, CT	Firm change

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Jan 16, 2024 to presentfactForm ADV
→ P••••••• U••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 3, 2018 to Dec 31, 2022factForm ADV
→ P••••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 3, 2016 to Mar 31, 2020factForm ADV
→ G••••••• F•••••

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:844c08a3-60ff-53ec-3c3a-365351d9ba66
First observed: Nov 11, 2011
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.