DFX Intelligence

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

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RIA / WealthAdvisor28 years in industry

S•••• H••••• S•••••

Advisor at L•••

LOS ANGELES, CA | Warren, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 16, 2001 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: L•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom 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
L•••	Independent wealth	Dec 9, 2025	n/a	yes	Warren, NJ\|LOS ANGELES, CA	Current employment
F••••••••• A•••••••	Former SEC adviser	Dec 6, 2013	Jan 8, 2026	no	WARREN, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••••• A•••••••	L•••	Jan 8, 2026	Dec 9, 2025	-30	Firm change	RIA to RIA
M•• I•••••••• S•••••••• L••	F••••••••• A•••••••	Nov 18, 2013	Dec 6, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
156185:269866:NJ:2026-01-08	Jan 8, 2026	Dec 9, 2025	WARREN, NJ	Firm change

Relationships

Registered with (3)

→ L•••Registered adviserregistration: current employment
Dec 9, 2025 to presentfactForm ADV
→ F••••••••• A•••••••Registered adviserregistration: previous registration
Dec 6, 2013 to Jan 8, 2026factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 16, 2001 to Nov 18, 2013factForm ADV

Dated events

Occurred
Jan 8, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 16, 2001
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.