DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

D••••• P•••• L•••••

Advisor at N•••••• A•••••••• I•••

HAUPPAUGE, NY

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Search this name across graphsid dfx:ria:f335680d-0130-ce25-4fc7-98d65f6f46e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 13, 2013 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: N•••••• A•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 22, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••• A•••••••• I•••	Independent wealth	Dec 21, 2022	n/a	yes	HAUPPAUGE, NY	Current employment
A••••••• P••••••••• A•••••••• I••	Former SEC adviser	Nov 8, 2018	Jan 5, 2023	no	HOLBROOK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• P••••••••• A•••••••• I••	N•••••• A•••••••• I•••	Jan 5, 2023	Dec 21, 2022	-15	Firm change	Ibd to RIA
C••••• A•••••• N••••••• L••	A••••••• P••••••••• A•••••••• I••	Oct 5, 2018	Nov 8, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
112697:125878:NY:2023-01-05	Jan 5, 2023	Dec 21, 2022	HOLBROOK, NY	Firm change

Relationships

Registered with (6)

→ N•••••• A•••••••• I•••Registered adviserregistration: current employment
Dec 21, 2022 to presentfactForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 8, 2018 to Jan 5, 2023factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 8, 2017 to Oct 5, 2018factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Jan 5, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f335680d-0130-ce25-4fc7-98d65f6f46e2
First observed: Mar 13, 2013
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.