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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

S•••• H•••••• M••••

Advisor at W•••• F•••• A•••••••

NEW YORK, NY | CHATHAM, NJ

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:11f71f70-becd-d6be-b6cf-d01b90a6a7f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 1, 2009 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 15, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

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
W•••• F•••• A•••••••	Wirehouse	Sep 1, 2026	n/a	yes	CHATHAM, NJ\|NEW YORK, NY	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Dec 9, 2020	Sep 2, 2026	no	NEW YORK, NY\|East Meadow, NY

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
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Sep 2, 2026	Sep 1, 2026	-1	Firm change	Wirehouse to wirehouse
R•••••• J•••• • A••••••••• I•••	J••• M••••• S••••••••• L••	Dec 15, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:11025:NY:2026-09-02	Sep 2, 2026	Sep 1, 2026	EAST MEADOW, NY	Firm change
705:79:NY:2020-12-14	Dec 15, 2020	Dec 9, 2020	NEW YORK, NY	Firm change

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Sep 1, 2026 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 9, 2020 to Sep 2, 2026factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Sep 6, 2016 to Dec 15, 2020factForm ADV
→ D••••••• B••• S••••••••• I•••

Dated events

Occurred
Sep 2, 2026
Advisor changed firm
S•••• H•••••• M•••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2026-09-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11f71f70-becd-d6be-b6cf-d01b90a6a7f0
First observed: Dec 1, 2009
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.