DFX Intelligence

A•••••• J••• R•••• C•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)31 years in industry

A•••••• J••• R•••• C•••

Advisor at A••••••••• L•••

NEW YORK, NY | WESTFIELD, NJ

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Search this name across graphsid dfx:ria:dbf4ac5c-8ced-d9d9-eb51-a967dbe2f51a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2006 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: A••••••••• L•••
Current firm class: other adviserderived
Book size: not public••• Locked
Industry start: Nov 17, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• L•••	Other adviser	Jan 9, 2014	n/a	yes	WESTFIELD, NJ\|NEW YORK, NY	Current employment
W••• S•••••• • C••• L••	Former SEC adviser	Dec 20, 2006	Dec 31, 2014	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••• S•••••• • C••• L••	A••••••••• L•••	Dec 31, 2014	Jan 9, 2014	-356	Firm change after gap	Other

Relationships

Registered with (2)

→ A••••••••• L•••Registered adviserregistration: current employment
Jan 9, 2014 to presentfactForm ADV
→ W••• S•••••• • C••• L••Registered adviserregistration: previous registration
Dec 20, 2006 to Dec 31, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dbf4ac5c-8ced-d9d9-eb51-a967dbe2f51a
First observed: Dec 20, 2006
Last observed: Sep 15, 2026 7 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.