DFX Intelligence

W••••• E••••• A•••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor40 years in industry

W••••• E••••• A•••

Advisor at S••••• I••••••••• L••

Greenwich, CT | NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3974ffa6-2a41-236a-734b-506b1c738a0f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2016 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: S••••• I••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 8, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• I••••••••• L••	Independent wealth	Jul 9, 2018	n/a	yes	Greenwich, CT\|NEW YORK, NY	Current employment
H•••••• J• S••• C•••••• M••••••••• I•••	Independent wealth	Feb 23, 2016	Jul 28, 2016	no	FAIRFIELD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• J• S••• C•••••• M••••••••• I•••	S••••• I••••••••• L••	Jul 28, 2016	Jul 9, 2018	711	Firm change after gap	RIA to RIA

Relationships

Registered with (2)

→ S••••• I••••••••• L••Registered adviserregistration: current employment
Jul 9, 2018 to presentfactForm ADV
→ H•••••• J• S••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 23, 2016 to Jul 28, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3974ffa6-2a41-236a-734b-506b1c738a0f
First observed: Feb 23, 2016
Last observed: Sep 15, 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.