DFX Intelligence

Data Factory

S••••• M•••••• C••••: 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 / WealthAdvisordual registered (broker-dealer)12 years in industry

S••••• M•••••• C••••

Advisor at R••••••••• C•••••• M•••••••••

New York, NY | NY, 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:3ae50e45-efc6-b4e8-2029-64cad1282036

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 16, 2019 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 23, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Sep 19, 2025	n/a	yes	NY, NY	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Jul 29, 2021	n/a	yes	New York, NY

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R••••••••• C•••••• M•••••••••	Nov 25, 2019	Jul 29, 2021	612	Firm change after gap	Wirehouse to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:291361:OH:2019-11-25	Nov 25, 2019	Jul 29, 2021	PEPPER PIKE, OH	Firm change after gap

Relationships

Registered with (3)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Sep 19, 2025 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Jul 29, 2021 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jul 16, 2019 to Nov 25, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ae50e45-efc6-b4e8-2029-64cad1282036
First observed: Jul 16, 2019
Last observed: Sep 14, 2026 7 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.