DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

T•••••• F••••••••• C•••••

Advisor at R••••• I••••••••• A•••••••• I••

GREENBROOK, NJ | WILMINGTON, DE

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Search this name across graphsid dfx:ria:cacbdb29-8f90-2737-d454-a7984251c574

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 8, 2002 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: R••••• I••••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 10, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• I••••••••• A•••••••• I••	Bd affiliated wealth	Sep 4, 2026	n/a	yes	WILMINGTON, DE\|GREENBROOK, NJ	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Feb 13, 2023	Dec 12, 2024	no	Green Brook, NJ\|FORT MILL, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	R••••• I••••••••• A•••••••• I••	Dec 12, 2024	Sep 4, 2026	631	Firm change after gap	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Jan 13, 2023	Feb 13, 2023

Relationships

Registered with (4)

→ R••••• I••••••••• A•••••••• I••Registered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 13, 2023 to Dec 12, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 13, 2007 to Jan 13, 2023factForm ADV
→ E•••••• C•••••• M••••••••• L••

Dated events

Occurred
Dec 12, 2024
Advisor changed firm
T•••••• F••••••••• C••••• left L•• F•••••••• L•• for R••••• I••••••••• A•••••••• I•• (registered 2026-09-04)
Form ADVobserved 7 days ago
Occurred
Jan 13, 2023
Advisor changed firm
T•••••• F••••••••• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2023-02-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cacbdb29-8f90-2737-d454-a7984251c574
First observed: Oct 8, 2002
Last observed: Sep 15, 2026 7 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.