DFX Intelligence

L•••• C••••••••• A••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor11 years in industry

L•••• C••••••••• A••••••

Advisor at S•••••• R••• • C••• L••

NEW YORK, NY | New York, NY

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Search this name across graphsid dfx:ria:3e0aa979-6e37-9a10-8c59-1916367d8a08

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 12, 2021 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•••••• R••• • C••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• R••• • C••• L••	Independent wealth	Dec 8, 2024	n/a	yes	New York, NY\|NEW YORK, NY	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 6, 2024	Nov 26, 2024	no	New York, NY\|New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••• R••• • C••• L••	Nov 26, 2024	Dec 8, 2024	12	Firm change	Wirehouse to RIA
A••••••••• L•••	U•• F•••••••• S••••••• I•••	Jan 30, 2024	Jun 6, 2024

Relationships

Registered with (4)

→ S•••••• R••• • C••• L••Registered adviserregistration: current employment
Dec 8, 2024 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jun 6, 2024 to Nov 26, 2024factForm ADV
→ A••••••••• L•••Registered adviserregistration: previous registration
Nov 17, 2021 to Jan 30, 2024factForm ADV
→ E•••••••• A•••••••• L••

Dated events

Occurred
Nov 26, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 30, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e0aa979-6e37-9a10-8c59-1916367d8a08
First observed: Jan 12, 2021
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.