DFX Intelligence

B•••• W•••••• L•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

B•••• W•••••• L•••••••

Advisor at R••••••••• C•••••• M•••••••••

New York, NY | Stamford, CT

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Search this name across graphsid dfx:ria:f5bfd943-7ab7-492d-c429-b98c189bd933

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 4, 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 8, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Sep 19, 2025	n/a	yes	Stamford, CT	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Jun 29, 2021	n/a	yes	Stamford, CT\|New York, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R••••••••• C•••••• M•••••••••	Oct 4, 2011	Jun 29, 2021	3,556	Firm change after gap	Wirehouse to ibd
J••• M••••• S••••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Nov 13, 2009

Relationships

Registered with (6)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Sep 19, 2025 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Jun 29, 2021 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 6, 2010 to Oct 4, 2011factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5bfd943-7ab7-492d-c429-b98c189bd933
First observed: Aug 4, 2006
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.