DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)26 years in industry

P•••••• C•••••• S••••••

Advisor at H••• S••••••••• •••• I•••

Edison, NJ | NEW YORK, NY

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Search this name across graphsid dfx:ria:17ddc7f1-f3ef-1e84-7aeb-4640b3168a33

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2004 to Sep 15, 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: H••• S••••••••• •••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 15, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
H••• S••••••••• •••• I•••	Bd affiliated wealth	Dec 3, 2015	n/a	yes	NEW YORK, NY\|Edison, NJ	Current employment
S•••••••• S•••••••••	Bd affiliated wealth	Nov 12, 2013	Nov 11, 2015	no	New York, NY\|SHORT HILLS, NJ\|NEW YORK, NY\|New York, NY\|New York, NY\|New York, NY\|New York, NY\|New York, NY\|NEW YORK, NY\|SHORT HILLS, NJ\|BOSTON, MA\|NEW YORK, NY\|New York, NY\|New York, NY\|New York, NY\|MANHATTAN, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• S•••••••••	H••• S••••••••• •••• I•••	Nov 11, 2015	Dec 3, 2015	22	Firm change	Other
C•••••••• G••••• M•••••• I•••	S•••••••• S•••••••••	Jul 26, 2013	Nov 12, 2013

Relationships

Registered with (4)

→ H••• S••••••••• •••• I•••Registered adviserregistration: current employment
Dec 3, 2015 to presentfactForm ADV
→ S•••••••• S•••••••••Registered adviserregistration: previous registration
Nov 12, 2013 to Nov 11, 2015factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 29, 2007 to Jul 26, 2013factForm ADV
→ C••••••• I••••••••• S•••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17ddc7f1-f3ef-1e84-7aeb-4640b3168a33
First observed: Oct 28, 2004
Last observed: Sep 15, 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.