DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)13 years in industry

S•••• E•••••

Advisor at B••••• G••••• A•••• M•••••••••

••• Locked

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Search this name across graphsid dfx:ria:9c591b18-7d51-4332-990f-00e59a557811

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 1, 2013 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: B••••• G••••• A•••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Current registrations: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•• F••••• O••••• A•••••••• L••	No RAUM reported	May 5, 2026	n/a	yes	WEST CALDWELL, NJ\|LAKEWOOD RANCH, FL	Current employment
B••••• G••••• A•••• M•••••••••	Bd affiliated wealth	Oct 23, 2018	n/a	yes	WEST CALDWELL, NJ\|Danbury, CT\|B•••••, MA

Relationships

Registered with (2)

→ D•• F••••• O••••• A•••••••• L••Registered adviserregistration: current employment
May 5, 2026 to presentfactForm ADV
→ B••••• G••••• A•••• M•••••••••Registered adviserregistration: current employment
Oct 23, 2018 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c591b18-7d51-4332-990f-00e59a557811
First observed: May 1, 2013
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.