DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

C••••••••• W••••• J••••

Advisor at SPC

ANN ARBOR, MI | Ossining, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 29, 2021 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: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 19, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••	Bd affiliated wealth	Aug 19, 2025	n/a	yes	Ossining, NY\|ANN ARBOR, MI	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jun 29, 2021	Aug 19, 2025	no	Ossining, NY\|Ossining, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	S••	Aug 19, 2025	Aug 19, 2025	0	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:110692:NY:2025-08-18	Aug 19, 2025	Aug 19, 2025	OSSINING, NY	Firm change

Relationships

Registered with (2)

→ S••Registered adviserregistration: current employment
Aug 19, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jun 29, 2021 to Aug 19, 2025factForm ADV

Dated events

Order

Occurred
19 Aug 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 29, 2021
Last observed: Sep 15, 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.