DFX Intelligence

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

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

T••••• A•••••• R•••••••

Advisor at R••••••• I•••••••••

••• Locked

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Search this name across graphsid dfx:ria:d163104a-0a7c-c7c9-5728-7226f1520ba8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 20, 2007 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•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 20, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••• I•••••••••	Independent wealth	Nov 15, 2019	n/a	yes	Melbourne, FL\|Port Jefferson, NY\|FT. LAUDERDALE, FL\|WEST PALM BEACH, FL	Current employment
S••••• A••• A•••• M••••••••• I•••	Former SEC adviser	Oct 27, 2010	Aug 16, 2013	no	MELBOURNE, FL\|COCOA BEACH, FL

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
S••••• A••• A•••• M••••••••• I•••	R••••••• I•••••••••	Aug 16, 2013	Nov 15, 2019	2,282	Firm change after gap	Other
J•••• • L••••• A•••••••	S••••• A••• A•••• M••••••••• I•••	Jul 8, 2010	Oct 27, 2010

Relationships

Registered with (5)

→ R••••••• I•••••••••Registered adviserregistration: current employment
Nov 15, 2019 to presentfactForm ADV
→ S••••• A••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Oct 27, 2010 to Aug 16, 2013factForm ADV
→ J•••• • L••••• A•••••••Registered adviserregistration: previous registration
May 11, 2010 to Jul 8, 2010factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d163104a-0a7c-c7c9-5728-7226f1520ba8
First observed: Nov 20, 2007
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.