DFX Intelligence

B•••• T••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

B•••• T••• S••••••

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

SPRINGFIELD, PA

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:d383c1fb-8bf8-3892-2572-8d83025735d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 1, 2020 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: Dec 1, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom 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
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Apr 6, 2026	n/a	yes	SPRINGFIELD, PA	Current employment
N•• A•• A••••	Asset manager	May 21, 2025	Feb 12, 2026	no	RYE, NY\|Yardley, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• A•• A••••	C••••• I••••••••• A••••••• L••	Feb 12, 2026	Apr 6, 2026	53	Firm change	Other
C•••••• S••••• • C••• I•••	N•• A•• A••••	Sep 13, 2024	May 21, 2025

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Apr 6, 2026 to presentfactForm ADV
→ N•• A•• A••••Registered adviserregistration: previous registration
May 21, 2025 to Feb 12, 2026factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Aug 2, 2023 to Sep 13, 2024factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••

Dated events

Occurred
Feb 12, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d383c1fb-8bf8-3892-2572-8d83025735d9
First observed: Oct 1, 2020
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.