DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

M•••••• S• L••••••

Advisor at C••••• I••••••••• A••••••• L••

STATEN ISLAND, NY

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Search this name across graphsid dfx:ria:94f75154-d5eb-60ae-fca7-6502258e702b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 1, 2008 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 21, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	STATEN ISLAND, NY	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Aug 6, 2021	Sep 5, 2025	no	DALLAS, TX\|Staten Island, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
E•••••••• A•••••••• L••	A•••••• A••••••• S•••••••	May 19, 2015	Aug 6, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
6627:104556:NJ:2015-05-13	May 19, 2015	Aug 6, 2021	EDISON, NJ	Firm change after gap

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Aug 6, 2021 to Sep 5, 2025factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
May 1, 2008 to May 19, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:94f75154-d5eb-60ae-fca7-6502258e702b
First observed: May 1, 2008
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.