DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

L••• M• P•••••••••

Advisor at C••••• P••••••• L••

Boca Raton, FL | NEW YORK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 19, 2015 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 public••• Locked
Industry start: Sep 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Jun 22, 2026	n/a	yes	Boca Raton, FL\|NEW YORK, NY	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Oct 30, 2017	Jul 3, 2026	no	WEST PALM BEACH, FL\|Jupiter, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	C••••• P••••••• L••	Jul 3, 2026	Jun 22, 2026	-11	Firm change	Wirehouse to RIA
G•••••• S•••• W••••• S•••••••• L•••	U•• F•••••••• S••••••• I•••	Nov 1, 2017	Oct 30, 2017

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Jun 22, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Oct 30, 2017 to Jul 3, 2026factForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Mar 19, 2015 to Nov 1, 2017factForm ADV

Dated events

Order

Occurred
3 Jul 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 19, 2015
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.