DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

B•••••• S••••• B•••••

Advisor at R•• C•••••• M••••••• L••

PRINCETON, NJ | DOUGLASSVILLE, PA

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Search this name across graphsid dfx:ria:fcfc5857-f8c8-d543-b409-a88a855687ca

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2002 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••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 6, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Apr 19, 2021	n/a	yes	PRINCETON, NJ\|DOUGLASSVILLE, PA	Current employment
N•••• C••••••	Independent wealth	Jan 28, 2021	Apr 21, 2021	no	Douglassville, PA\|SALT LAKE CITY, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••• C••••••	R•• C•••••• M••••••• L••	Apr 21, 2021	Apr 19, 2021	-2	Firm change	RIA to ibd
W••••••	N•••• C••••••	Dec 31, 2017	Sep 30, 2019

Relationships

Registered with (5)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Apr 19, 2021 to presentfactForm ADV
→ N•••• C••••••Registered adviserregistration: previous registration
Jan 28, 2021 to Apr 21, 2021factForm ADV
→ W••••••Registered adviserregistration: previous registration
Jun 7, 2016 to Dec 31, 2017factForm ADV
→ T•••••• C•••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fcfc5857-f8c8-d543-b409-a88a855687ca
First observed: Nov 6, 2002
Last observed: Sep 15, 2026 7 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.