C•••••• P• R•••

Advisor at W•••• F•••• A•••••••

CARMEL, NY | PURCHASE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d3539a32-7393-d07c-9d5f-a008ec869f8f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 19, 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 3, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	May 25, 2016	n/a	yes	PURCHASE, NY\|CARMEL, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 15, 2012	Jun 3, 2016	no	LOCKPORT, NY\|OSSINING, NY\|BREWSTER, NY\|BREWSTER, NY\|NYACK, NY\|NEW CITY, NY\|SUFFERN, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	W•••• F•••• A•••••••	Jun 3, 2016	May 25, 2016	-9	Firm change	Other
H••• S••••••••• •••• I•••	L•• F•••••••• L••	May 15, 2012	May 15, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:19616:NY:2016-05-13	Jun 3, 2016	May 25, 2016	SUFFERN, NY	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
May 25, 2016 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 15, 2012 to Jun 3, 2016factForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Nov 19, 2007 to May 15, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3539a32-7393-d07c-9d5f-a008ec869f8f
First observed: Nov 19, 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.