DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

C••••••••• B• S•••••

Advisor at P•• A••••••• S•••••••• L••

Spring Lake, NJ | ALBANY, NY

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Search this name across graphsid dfx:ria:ec9c2124-1916-9277-55a9-9ef84e200c8a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 9, 2006 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: P•• A••••••• S•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 20, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•• A••••••• S•••••••• L••	Independent wealth	Jul 7, 2023	n/a	yes	Spring Lake, NJ\|ALBANY, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Dec 11, 2017	Jun 24, 2022	no	SPRING LAKE, NJ\|Spring Lake, NJ\|FORT MILL, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	P•• A••••••• S•••••••• L••	Jun 24, 2022	Jul 7, 2023	378	Firm change	RIA to RIA
M•• F•••••••• S•••••••• I•••	N•• E•••••• S••••••••• C•••••••••	Dec 13, 2016	Mar 25, 2011

Relationships

Registered with (5)

→ P•• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 7, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Dec 11, 2017 to Jun 24, 2022factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 4, 2009 to Dec 13, 2016factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

Occurred
Jun 24, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ec9c2124-1916-9277-55a9-9ef84e200c8a
First observed: Jun 9, 2006
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.