DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

R•••••• S•••• J••••••

Advisor at A••••••• A•••• M••••••••• I•••

PRINCETON, NJ | Woodland, CA

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Search this name across graphsid dfx:ria:aed900be-b5bc-686d-f90d-bb3485be0acb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2003 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: A••••••• A•••• M••••••••• I•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Dec 31, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• A•••• M••••••••• I•••	Mixed wealth	Jan 23, 2014	n/a	yes	PRINCETON, NJ\|Woodland, CA	Current employment
M•••••• C••••••• I••	n/a	Jan 13, 2009	Dec 31, 2014	no	GLEN ELLYN, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• C••••••• I••	A••••••• A•••• M••••••••• I•••	Dec 31, 2014	Jan 23, 2014	-342	Firm change after gap	Other
C•••• I••••••••• S••••••• C••••	M•••••• C••••••• I••	Jun 5, 2008	Jan 13, 2009

Relationships

Registered with (6)

→ A••••••• A•••• M••••••••• I•••Registered adviserregistration: current employment
Jan 23, 2014 to presentfactForm ADV
→ M•••••• C••••••• I••Registered adviserregistration: previous registration
Jan 13, 2009 to Dec 31, 2014factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 29, 2007 to Jun 5, 2008factForm ADV
→ U••• B•••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aed900be-b5bc-686d-f90d-bb3485be0acb
First observed: Mar 12, 2003
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.