DFX Intelligence

D•••••• R• B•••••: 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)18 years in industry

D•••••• R• B•••••

Advisor at C•••••••• G••••• M•••••• I•••

••• Locked

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:f3aa8d33-0ba8-c279-b3de-a7c40db9f789

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 28, 2008 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: C•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 21, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Dec 16, 2011	n/a	yes	New York City, NY\|Wilmington, DE\|Newark, DE	Current employment
G••••• C••••••• I••••••••• M••••••••• L••	Former SEC adviser	Jun 29, 2010	Jun 17, 2011	no	WILMINGTON, DE

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• C••••••• I••••••••• M••••••••• L••	C•••••••• G••••• M•••••• I•••	Jun 17, 2011	Dec 16, 2011	182	Firm change	Other
M••••• S••••••	G••••• C••••••• I••••••••• M••••••••• L••	Jun 24, 2010	Jun 29, 2010

Relationships

Registered with (3)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 28, 2008 to Jun 1, 2009factForm ADV
→ G••••• C••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 29, 2010 to Jun 17, 2011factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jun 24, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3aa8d33-0ba8-c279-b3de-a7c40db9f789
First observed: May 28, 2008
Last observed: Sep 15, 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.