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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

D••••• L••••••• C•••

Advisor at A•••• C•••••• C••••

Miami, FL | MELVILLE, NY

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Search this name across graphsid dfx:ria:c41a8e57-e911-f619-06b0-13cc38f19001

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

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Aug 26, 2004 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: A•••• C•••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• C•••••• C••••	Bd affiliated wealth	Mar 11, 2025	n/a	yes	Miami, FL\|MELVILLE, NY	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Jul 8, 2022	Oct 21, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	A•••• C•••••• C••••	Oct 21, 2024	Mar 11, 2025	141	Firm change	Ibd to ibd
W•••• F•••• A•••••••	R•••••• J•••• • A••••••••• I•••	May 26, 2022

Relationships

Registered with (7)

→ A•••• C•••••• C••••Registered adviserregistration: current employment
Mar 11, 2025 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Jul 8, 2022 to Oct 21, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 3, 2016 to May 26, 2022factForm ADV
→ C••••• S••••• S••••••••• •••• L••

Dated events

Occurred
Oct 21, 2024
Advisor changed firm
D••••• L••••••• C••• left R•••••• J•••• • A••••••••• I••• for A•••• C•••••• C•••• (registered 2025-03-11)
Form ADVobserved 7 days ago
Occurred
May 26, 2022
Advisor changed firm
D••••• L••••••• C••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-07-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c41a8e57-e911-f619-06b0-13cc38f19001
First observed: Aug 26, 2004
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.