DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

c••••••••• L•••• M•••••• D••••

Advisor at ••••••••

OYSTER BAY, NY | NASHVILLE, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9494548d-864c-d7df-f460-02333d6f9fb4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 18, 2000 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: ••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
••••••••	Independent wealth	Nov 14, 2023	n/a	yes	OYSTER BAY, NY\|NASHVILLE, TN\|NASHVILLE, TN	Current employment
W•••• F•••• A•••••••	Wirehouse	Feb 17, 2023	Jul 17, 2023	no	BETHESDA, MD	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	••••••••	Jul 17, 2023	Nov 14, 2023	120	Firm change	Wirehouse to RIA
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Jun 24, 2022	Feb 17, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:11025:NY:2022-06-09	Jun 24, 2022	Feb 17, 2023	MELVILLE, NY	Firm change

Relationships

Registered with (5)

→ ••••••••Registered adviserregistration: current employment
Nov 14, 2023 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 17, 2023 to Jul 17, 2023factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 11, 2018 to Jun 24, 2022factForm ADV
→ S•••••• P••••••• I••••••••• A•••••••• L••

Dated events

Occurred
Jul 17, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9494548d-864c-d7df-f460-02333d6f9fb4
First observed: Oct 18, 2000
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.