DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

C••••• A•• C••••••

Advisor at B••••••••• A•••• M••••••••• L••

Sarasota, FL | JUPITER, FL

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 3, 2014 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: B••••••••• A•••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 28, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••••••• A•••• M••••••••• L••	Independent wealth	Nov 8, 2017	n/a	yes	JUPITER, FL\|Sarasota, FL	Current employment
I••••••••• S•••••••• W••••• M••••••••• L••	Independent wealth	Nov 3, 2017	Jan 7, 2019	no	Webster, NY\|WILLIAMSVILLE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• S•••••••• W••••• M••••••••• L••	B••••••••• A•••• M••••••••• L••	Jan 7, 2019	Nov 8, 2017	-425	Firm change after gap	Other
N••• F•••••••• G••••• I•••	I••••••••• S•••••••• W••••• M••••••••• L••	Nov 1, 2017	Nov 3, 2017

Relationships

Registered with (3)

→ B••••••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Nov 8, 2017 to presentfactForm ADV
→ I••••••••• S•••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 3, 2017 to Jan 7, 2019factForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Oct 3, 2014 to Nov 1, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 3, 2014
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.