DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

M••••••• S•••••• H••••

Advisor at B• R•••• W••••• A•••••••• I•••

New York, NY

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Search this name across graphsid dfx:ria:252aabcc-8217-a198-43a6-18396f8f7134

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 22, 2006 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: B• R•••• W••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	Jul 25, 2022	n/a	yes	New York, NY	Current employment
D••••••• • D••••••• L••	Former SEC adviser	Feb 14, 2013	Jan 28, 2015	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••• • D••••••• L••	B• R•••• W••••• A•••••••• I•••	Jan 28, 2015	Jul 25, 2022	2,735	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	D••••••• • D••••••• L••	Dec 19, 2012	Feb 14, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
7344:115927:NY:2015-01-26	Jan 28, 2015	Jul 25, 2022	NEW YORK, NY	Firm change after gap

Relationships

Registered with (3)

→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 25, 2022 to presentfactForm ADV
→ D••••••• • D••••••• L••Registered adviserregistration: previous registration
Feb 14, 2013 to Jan 28, 2015factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 22, 2006 to Dec 19, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:252aabcc-8217-a198-43a6-18396f8f7134
First observed: Sep 22, 2006
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.