DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

A•••••••• L••• D••••••••

Advisor at U•• F•••••••• S••••••• I•••

NEW YORK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 15, 2012 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 16, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Oct 20, 2025	n/a	yes	NEW YORK, NY	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	May 2, 2025	Oct 24, 2025	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	U•• F•••••••• S••••••• I•••	Oct 24, 2025	Oct 20, 2025	-4	Firm change	Ibd to wirehouse
M••••• S••••••	O••••••••• • C•• I•••	May 20, 2025	May 2, 2025

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Oct 20, 2025 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
May 2, 2025 to Oct 24, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Nov 6, 2013 to May 20, 2025factForm ADV
→ N•• R•••• I•••••••••

Dated events

Order

Occurred
24 Oct 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
20 May 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 15, 2012
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.