DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

S•••••••• P••••••••

Advisor at S•••••••• B••••••••• L••

Staten Island, NY

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Search this name across graphsid dfx:ria:1e8807c3-2342-be93-d089-1c6a0a364d5b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 16, 2007 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: S•••••••• B••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 13, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• B••••••••• L••	Independent wealth	Nov 22, 2021	n/a	yes	Staten Island, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Oct 16, 2020	Dec 17, 2021	no	STATEN ISLAND, NY\|STATEN ISLAND, NY\|FORT MILL, SC\|STATEN ISLAND, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••••••• B••••••••• L••	Dec 17, 2021	Nov 22, 2021	-25	Firm change	Ibd to RIA
J••• M••••• S••••••••• L••	L•• F•••••••• L••	Oct 27, 2020	Oct 16, 2020

Relationships

Registered with (6)

→ S•••••••• B••••••••• L••Registered adviserregistration: current employment
Nov 22, 2021 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 16, 2020 to Dec 17, 2021factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Oct 27, 2020factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e8807c3-2342-be93-d089-1c6a0a364d5b
First observed: Apr 16, 2007
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.