DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

L••• C•••• M•••••••

Advisor at U•• F•••••••• S••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:872f8e99-a398-b7ae-5939-0e18563c0000

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 22, 2006 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jan 17, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Apr 20, 2012	n/a	yes	MELVILLE, NY\|Holmes Beach, FL\|Nesconset, NY	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Apr 30, 2012	no	HAUPPAUGE, NY\|Hauppauge, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	U•• F•••••••• S••••••• I•••	Apr 30, 2012	Apr 20, 2012	-10	Firm change	Wirehouse to wirehouse
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Apr 20, 2012 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Apr 30, 2012factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:872f8e99-a398-b7ae-5939-0e18563c0000
First observed: Sep 22, 2006
Last observed: Sep 15, 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.