DFX Intelligence

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

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

S••••• P•••• A••••

Advisor at C••• S••••• P•••••••

Morristown, NJ

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Search this name across graphsid dfx:ria:b73c2d45-9d17-ea5e-ae9c-1ed3f48b36b4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 2, 2018 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••• S••••• P•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• S••••• P•••••••	Bd affiliated wealth	Jun 25, 2025	n/a	yes	Morristown, NJ	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	Jun 12, 2025	no	MORRISTOWN, NJ\|KINNELON, NJ\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	C••• S••••• P•••••••	Jun 12, 2025	Jun 25, 2025	13	Firm change	Ibd to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Relationships

Registered with (4)

→ C••• S••••• P•••••••Registered adviserregistration: current employment
Jun 25, 2025 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Jun 12, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
May 3, 2024 to Mar 31, 2025factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Jun 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b73c2d45-9d17-ea5e-ae9c-1ed3f48b36b4
First observed: Jan 2, 2018
Last observed: Sep 14, 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.