DFX Intelligence

R•••••• P••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

R•••••• P••• G••••

Advisor at C• W••••• M••••••••• L••

Syosset, NY | SCHAUMBURG, IL

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Search this name across graphsid dfx:ria:fabcab38-5b0e-c0b1-5ffb-7b74f299d351

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

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 12, 2012 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: C• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 23, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• W••••• M••••••••• L••	Independent wealth	Mar 22, 2021	n/a	yes	SCHAUMBURG, IL\|Syosset, NY	Current employment
B• R•••• W••••• M•••••••••	Former SEC adviser	Jan 12, 2012	Oct 2, 2018	no	GREAT NECK, NY\|New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• M•••••••••	C• W••••• M••••••••• L••	Oct 2, 2018	Mar 22, 2021	902	Firm change after gap	Ibd to RIA

Relationships

Registered with (2)

→ C• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 22, 2021 to presentfactForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Jan 12, 2012 to Oct 2, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fabcab38-5b0e-c0b1-5ffb-7b74f299d351
First observed: Jan 12, 2012
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.