DFX Intelligence

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

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

D••••• P• D•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Voorhees, NJ

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Search this name across graphsid dfx:ria:89c7260c-9dcc-c9c3-f4a5-35e660418301

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 1, 2013 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 20, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 10, 2024	n/a	yes	Voorhees, NJ	Current employment
C••••• C••••••• L••	Former SEC adviser	Mar 1, 2013	Nov 20, 2014	no	DENVER, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• C••••••• L••	A••••••••• F•••••••• S•••••••• L••	Nov 20, 2014	May 10, 2024	3,459	Firm change after gap	Other

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
May 10, 2024 to presentfactForm ADV
→ C••••• C••••••• L••Registered adviserregistration: previous registration
Mar 1, 2013 to Nov 20, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89c7260c-9dcc-c9c3-f4a5-35e660418301
First observed: Mar 1, 2013
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.