DFX Intelligence

C••••••••• E••••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

C••••••••• E••••• C•••••

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

••• Locked

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Search this name across graphsid dfx:ria:965a337e-0995-4741-c44d-fd5d492a32f1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 28, 2004 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 27, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom 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
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Feb 1, 2026	n/a	yes	CHERRY HILL, NJ\|WESTAMPTON, NJ\|SHIP BOTTOM, NJ	Current employment
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Dec 8, 2021	Jun 12, 2025	no	SCOTTSDALE, AZ\|CHERRY HILL, NJ\|SHIP BOTTOM, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	C••••• I••••••••• A••••••• L••	Jun 12, 2025	Feb 1, 2026	234	Firm change	RIA to ibd
A• W••••• M••••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Dec 6, 2021

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Feb 1, 2026 to presentfactForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: previous registration
Dec 8, 2021 to Jun 12, 2025factForm ADV
→ A• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 19, 2020 to Dec 6, 2021factForm ADV
→ T•••••••• L••

Dated events

Occurred
Jun 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:965a337e-0995-4741-c44d-fd5d492a32f1
First observed: Sep 28, 2004
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.