DFX Intelligence

N••• A••• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)41 years in industry

N••• A••• D••••••

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

SUFFERN, 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, 3:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 13, 2003 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: Feb 21, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	Mar 31, 2021	n/a	yes	SUFFERN, NY\|SUFFERN, NY	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	SUFFERN, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 12, 2020	Mar 31, 2021	139	Bulk transfer	Ibd to ibd
F•••• A••••• S••••••••• I•••	F•••• A••••• A••••••• S•••••••• I•••	Jul 16, 2012	Jul 2, 2012

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2021 to presentfactForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ F•••• A••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 13, 2003 to Jul 16, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 13, 2003
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.