DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

M•••••• P• W••••

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

New York, NY | SAN JUAN, PR

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 1, 2007 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••••••• C•••••• A••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Sep 28, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• C•••••• A••••••• L••	Asset manager	Mar 28, 2024	n/a	yes	New York, NY\|SAN JUAN, PR	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jan 13, 2022	May 2, 2022	no	MERRIMACK, NH\|EATONTOWN, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	C••••••• C•••••• A••••••• L••	May 2, 2022	Mar 28, 2024	696	Firm change after gap	Other
P••• I••••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Apr 12, 2021	Jan 13, 2022

Relationships

Registered with (5)

→ C••••••• C•••••• A••••••• L••Registered adviserregistration: current employment
Mar 28, 2024 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jan 13, 2022 to May 2, 2022factForm ADV
→ P••• I••••••••• L••Registered adviserregistration: previous registration
Mar 12, 2015 to Apr 12, 2021factForm ADV
→ W•• I••••••••• L••

Dated events

Occurred
May 2, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 1, 2007
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.