DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

L••••••• G• M••••••

Advisor at A••• A••••••• P•••••••

NEW YORK, NY | New York, NY

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 19, 2002 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••• A••••••• P•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 18, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••• A••••••• P•••••••	Bd affiliated wealth	Jul 20, 2026	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
U••• C•••••• W••••• A•••••••• L••	Bd affiliated wealth	May 7, 2026	Jul 21, 2026	no	HOUSTON, TX\|New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• C•••••• W••••• A•••••••• L••	A••• A••••••• P•••••••	Jul 21, 2026	Jul 20, 2026	-1	Bulk transfer	Ibd to ibd
W•••• F•••• A•••••••	U••• C•••••• W••••• A•••••••• L••	May 14, 2026	May 7, 2026

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:19616:NJ:2019-11-01	Nov 5, 2019	Nov 1, 2019	PARAMUS, NJ	Firm change

Relationships

Registered with (6)

→ A••• A••••••• P•••••••Registered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ U••• C•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
May 7, 2026 to Jul 21, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 1, 2019 to May 14, 2026factForm ADV
→ M••••• S••••••

Dated events

Order

Occurred
14 May 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 19, 2002
Last observed: Sep 14, 2026 10 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.