DFX Intelligence

C•••••• T•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

C•••••• T•••••••

Advisor at H•••••• • W•••• A•••• M••••••••• I•••

PARSIPPANY, NJ

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Search this name across graphsid dfx:ria:b701b425-2459-ee81-c8d4-ebcd03d891c3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2015 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: H•••••• • W•••• A•••• M••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 13, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H•••••• • W•••• A•••• M••••••••• I•••	Bd affiliated wealth	Sep 20, 2019	n/a	yes	PARSIPPANY, NJ	Current employment
P•••••••• A•••••••	National bd RIA	Dec 14, 2018	Jan 14, 2019	no	BRIARCLIFF MANOR, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• A•••••••	H•••••• • W•••• A•••• M••••••••• I•••	Jan 14, 2019	Sep 20, 2019	249	Firm change	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	P•••••••• A•••••••	Jan 5, 2017	Dec 14, 2018

Relationships

Registered with (4)

→ H•••••• • W•••• A•••• M••••••••• I•••Registered adviserregistration: current employment
Sep 20, 2019 to presentfactForm ADV
→ P•••••••• A•••••••Registered adviserregistration: previous registration
Dec 14, 2018 to Jan 14, 2019factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 3, 2016 to Jan 5, 2017factForm ADV
→ A•••••• A••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b701b425-2459-ee81-c8d4-ebcd03d891c3
First observed: Dec 23, 2015
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.