DFX Intelligence

N••••••• H•••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

N••••••• H•••• B••••

Advisor at C••••••• P•••••• W•••••

••• Locked

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Search this name across graphsid dfx:ria:f9321011-3dc5-a4a5-7093-5f0428f7c064

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 31, 2013 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••••••• P•••••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P•••••• W•••••	Bd affiliated wealth	May 23, 2022	n/a	yes	TARRYTOWN, NY\|Stamford, CT	Current employment
C••••••• S••••••••• I•••	Bd affiliated wealth	May 23, 2022	n/a	yes	SYRACUSE, NY\|GREENWICH, CT\|STAMFORD, CT\|RYE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	C••••••• S••••••••• I•••	Oct 6, 2021	May 23, 2022	229	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F••••••• P••••••• A•• W•••••••• A•••••••	Mar 24, 2017	Aug 14, 2018

Relationships

Registered with (4)

→ C••••••• P•••••• W•••••Registered adviserregistration: current employment
May 23, 2022 to presentfactForm ADV
→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
May 23, 2022 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Aug 14, 2018 to Oct 6, 2021factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f9321011-3dc5-a4a5-7093-5f0428f7c064
First observed: May 31, 2013
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.