DFX Intelligence

M••• W•••••• L••••: 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)34 years in industry

M••• W•••••• L••••

Advisor at W••••••••• A••••••• P••••••• L••

WEST CHESTER, PA | Tuxedo Park, 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:d5a417b9-fd29-f654-0734-ad8f50e0d6f1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2003 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: W••••••••• A••••••• P••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A••••••• P••••••• L••	Bd affiliated wealth	Apr 27, 2018	n/a	yes	Tuxedo Park, NY\|WEST CHESTER, PA	Current employment
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Aug 2, 2011	Apr 26, 2018	no	WARWICK, NY\|M•••••••••, NJ\|TUXEDO PARK, NY\|Tuxedo Park, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• A•••••• G••••• L••	W••••••••• A••••••• P••••••• L••	Apr 26, 2018	Apr 27, 2018	1	Firm change	RIA to RIA
M••••••••• F•••••••• G••••• L••	P•••••• A•••••• G••••• L••	Jun 30, 2009	Aug 2, 2011

Relationships

Registered with (3)

→ W••••••••• A••••••• P••••••• L••Registered adviserregistration: current employment
Apr 27, 2018 to presentfactForm ADV
→ P•••••• A•••••• G••••• L••Registered adviserregistration: previous registration
Aug 2, 2011 to Apr 26, 2018factForm ADV
→ M••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Nov 12, 2004 to Jun 30, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5a417b9-fd29-f654-0734-ad8f50e0d6f1
First observed: Mar 28, 2003
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.