DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

P••• R••• R•••••••••

Advisor at C••••• • A••••••••• I•••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2005 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••••• • A••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 23, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• • A••••••••• I•••	Independent wealth	Aug 13, 2013	n/a	yes	Temple Terrace, FL\|Ocala, FL\|TAMPA, FL\|TAMPA, FL	Current employment
C• W••••• M••••••••• L••	Former SEC adviser	Mar 18, 2013	Aug 23, 2013	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C• W••••• M••••••••• L••	C••••• • A••••••••• I•••	Aug 23, 2013	Aug 13, 2013	-10	Firm change	Other
V•••••• A••••••• L••	C• W••••• M••••••••• L••	Dec 5, 2012	Mar 18, 2013

Relationships

Registered with (7)

→ C••••• • A••••••••• I•••Registered adviserregistration: current employment
Aug 13, 2013 to presentfactForm ADV
→ C• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 18, 2013 to Aug 23, 2013factForm ADV
→ V•••••• A••••••• L••Registered adviserregistration: previous registration
Aug 6, 2012 to Dec 5, 2012factForm ADV
→ C••••••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 9, 2005
Last observed: Sep 15, 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.