DFX Intelligence

W••••• S•••• T•••••: 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 / WealthAdvisordual registered (broker-dealer)26 years in industry

W••••• S•••• T•••••

Advisor at T••••• A••••••• S•••••••• I•••

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:10fba3a2-7061-bb19-788e-705843f2c578

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jan 24, 2020 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: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 16, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Jan 18, 2024	n/a	yes	NEW YORK, NY	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Jun 16, 2022	Jan 3, 2024	no	New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	T••••• A••••••• S•••••••• I•••	Jan 3, 2024	Jan 18, 2024	15	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	J••• M••••• S••••••••• L••	Jun 9, 2022	Jun 16, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:283390:NY:2024-01-03	Jan 3, 2024	Jan 18, 2024	NEW YORK, NY	Firm change
19616:79:NY:2022-06-09	Jun 9, 2022	Jun 16, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Jan 18, 2024 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Jun 16, 2022 to Jan 3, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 24, 2020 to Jun 9, 2022factForm ADV

Dated events

Occurred
Jan 3, 2024
Advisor changed firm
W••••• S•••• T••••• left J••• M••••• S••••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2024-01-18)
Form ADVobserved 7 days ago
Occurred
Jun 9, 2022
Advisor changed firm
W••••• S•••• T••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-06-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10fba3a2-7061-bb19-788e-705843f2c578
First observed: Jan 24, 2020
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.