DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

W•••••• W••• C••••

Advisor at C••••• I••••••••• A••••••• L••

Roslyn, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:c8ee2ff5-8054-ee85-fcf7-fc31ea210906

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 6, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 20, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	NEW YORK, NY\|Roslyn, NY	Current employment
S••••• F•••••••• G•••• I••	Former SEC adviser	Nov 18, 2009	May 20, 2021	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• F•••••••• G•••• I••	C••••• I••••••••• A••••••• L••	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
C•••••••• G••••• M•••••• I•••	S••••• F•••••••• G•••• I••	Dec 17, 2009	Nov 18, 2009

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Nov 18, 2009 to May 20, 2021factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 29, 2007 to Dec 17, 2009factForm ADV
→ C••••••• I••••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8ee2ff5-8054-ee85-fcf7-fc31ea210906
First observed: Dec 6, 2004
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.