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

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RIA / WealthAdvisor26 years in industry

S•••• E•• M•••••

Advisor at U••••• A•••• S••••••••• I•••

GARDEN CITY, NY

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Search this name across graphsid dfx:ria:0fd5a83d-b978-d305-df84-f01bced31acb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 14, 2003 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: U••••• A•••• S••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 30, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• A•••• S••••••••• I•••	Independent wealth	Jul 11, 2021	n/a	yes	GARDEN CITY, NY	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Feb 6, 2012	Dec 31, 2020	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I•••	U••••• A•••• S••••••••• I•••	Jan 11, 2021	Jul 11, 2021	181	Firm change	Other
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Dec 31, 2020

Relationships

Registered with (6)

→ U••••• A•••• S••••••••• I•••Registered adviserregistration: current employment
Jul 11, 2021 to presentfactForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Feb 6, 2012 to Jan 11, 2021factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 6, 2012 to Dec 31, 2020factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0fd5a83d-b978-d305-df84-f01bced31acb
First observed: Oct 14, 2003
Last observed: Sep 14, 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.