DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)32 years in industry

B•••• M••••• L•••

Advisor at N•••••• A•••••••• I•••

HAUPPAUGE, NY

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Search this name across graphsid dfx:ria:99b32393-542c-147a-9310-aa645bb85719

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 8, 1998 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: N•••••• A•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 13, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••• I•••	Independent wealth	Dec 22, 2022	n/a	yes	HAUPPAUGE, NY	Current employment
A••••••• P••••••••• A•••••••• I••	Former SEC adviser	Oct 17, 2005	Jan 5, 2023	no	HOLBROOK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• P••••••••• A•••••••• I••	N•••••• A•••••••• I•••	Jan 5, 2023	Dec 22, 2022	-14	Firm change	Ibd to RIA
N••••• • L•••• S••••••••• I•••	A••••••• P••••••••• A•••••••• I••	Jan 28, 2003	Oct 17, 2005

Team moves

••• Locked

Team	Left	Joined	From	Kind
112697:125878:NY:2023-01-05	Jan 5, 2023	Dec 22, 2022	HOLBROOK, NY	Firm change

Relationships

Registered with (3)

→ N•••••• A•••••••• I•••Registered adviserregistration: current employment
Dec 22, 2022 to presentfactForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Oct 17, 2005 to Jan 5, 2023factForm ADV
→ N••••• • L•••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 8, 1998 to Jan 28, 2003factForm ADV

Dated events

Occurred
Jan 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99b32393-542c-147a-9310-aa645bb85719
First observed: Jan 8, 1998
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.