DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

S•••• M•••••• D••••

Advisor at W•••• F•••• A•••••••

NEW YORK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 30, 2017 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 public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	May 1, 2026	n/a	yes	NEW YORK, NY	Current employment
M••••• S••••••	Wirehouse	Nov 6, 2020	May 5, 2026	no	New York, NY\|New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	W•••• F•••• A•••••••	May 5, 2026	May 1, 2026	-4	Firm change	Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	Nov 9, 2020	Nov 6, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:19616:NY:2026-05-04	May 5, 2026	May 1, 2026	NEW YORK, NY	Firm change
7691:149777:NY:2020-11-02	Nov 9, 2020	Nov 6, 2020	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
May 1, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Nov 6, 2020 to May 5, 2026factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 30, 2017 to Nov 9, 2020factForm ADV

Dated events

Order

Occurred
5 May 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 30, 2017
Last observed: Sep 14, 2026 9 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.