DFX Intelligence

S••••• M••••• A•••••••: 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

S••••• M••••• A•••••••

Advisor at F•••• M•••••••• C•• L••

NEW YORK, NY

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:0c70b5b1-18bd-f3ca-55f4-be9cfa5456a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 1, 2006 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: F•••• M•••••••• C•• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 13, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• M•••••••• C•• L••	Bd affiliated wealth	Feb 16, 2023	n/a	yes	NEW YORK, NY	Current employment
N•••••••• B••••• B• L••	No RAUM reported	Apr 16, 2014	Aug 22, 2022	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•••••••• B••••• B• L••	F•••• M•••••••• C•• L••	Aug 22, 2022	Feb 16, 2023	178	Firm change	Other
A••••••••• F•••••••• S•••••••• L••	N•••••••• B••••• B• L••	Oct 31, 2007	Apr 16, 2014

Relationships

Registered with (3)

→ F•••• M•••••••• C•• L••Registered adviserregistration: current employment
Feb 16, 2023 to presentfactForm ADV
→ N•••••••• B••••• B• L••Registered adviserregistration: previous registration
Apr 16, 2014 to Aug 22, 2022factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 1, 2006 to Oct 31, 2007factForm ADV

Dated events

Occurred
Aug 22, 2022
Advisor changed firm
S••••• M••••• A••••••• left N•••••••• B••••• B• L•• for F•••• M•••••••• C•• L•• (registered 2023-02-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c70b5b1-18bd-f3ca-55f4-be9cfa5456a1
First observed: Sep 1, 2006
Last observed: Sep 14, 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.