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

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RIA / WealthAdvisorCertified Financial Planner31 years in industry

S•••••• R•••••• S••••

Advisor at O••••• I••••••••• A•••••••• I•••

GOSHEN, NY

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Search this name across graphsid dfx:ria:15c804fb-a870-5cfa-4157-37169cdd4bad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Jan 2, 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: O••••• I••••••••• A•••••••• 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: Nov 21, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
O••••• I••••••••• A•••••••• I•••	Independent wealth	Feb 3, 2026	n/a	yes	GOSHEN, NY	Current employment
O•••• I••••••••• I•••	Bd affiliated wealth	Jul 11, 2023	Dec 13, 2023	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
O•••• I••••••••• I•••	O••••• I••••••••• A•••••••• I•••	Dec 13, 2023	Feb 3, 2026	783	Firm change after gap	Ibd to RIA
W••••• I•••••••• S•••••• I••	O•••• I••••••••• I•••	Apr 6, 2023

Relationships

Registered with (9)

→ O••••• I••••••••• A•••••••• I•••Registered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ O•••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 11, 2023 to Dec 13, 2023factForm ADV
→ W••••• I•••••••• S•••••• I••Registered adviserregistration: previous registration
Feb 16, 2022 to Apr 6, 2023factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Dated events

Occurred
Dec 13, 2023
Advisor changed firm
S•••••• R•••••• S•••• left O•••• I••••••••• I••• for O••••• I••••••••• A•••••••• I••• (registered 2026-02-03)
Form ADVobserved 7 days ago
Occurred
Apr 6, 2023
Advisor changed firm
S•••••• R•••••• S•••• left W••••• I•••••••• S•••••• I•• for O•••• I••••••••• I••• (registered 2023-07-11)
Form ADVobserved 7 days ago
Occurred
Feb 9, 2022
Advisor changed firm
S•••••• R•••••• S•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for W••••• I•••••••• S•••••• I•• (registered 2022-02-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15c804fb-a870-5cfa-4157-37169cdd4bad
First observed: Jan 2, 2003
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.