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

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RIA / WealthAdvisor22 years in industry

S••• M•••••• M••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | INCLINE VILLAGE, NV

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Search this name across graphsid dfx:ria:d5211ed8-5934-5505-565d-562ce1331e9d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 10, 2004 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 5, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Aug 12, 2021	n/a	yes	INCLINE VILLAGE, NV\|NEW YORK, NY	Current employment
B•••• C•••• F•••••••• A•••••••• L••	Independent wealth	Jan 30, 2012	Nov 14, 2012	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B•••• C•••• F•••••••• A•••••••• L••	C••••• P••••••• L••	Nov 14, 2012	Aug 12, 2021	3,193	Firm change after gap	Other
G•••••• S•••• W••••• S•••••••• L•••	B•••• C•••• F•••••••• A•••••••• L••	Feb 24, 2011

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Aug 12, 2021 to presentfactForm ADV
→ B•••• C•••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 30, 2012 to Nov 14, 2012factForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Jan 10, 2004 to Feb 24, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5211ed8-5934-5505-565d-562ce1331e9d
First observed: Jan 10, 2004
Last observed: Sep 14, 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.