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.

Current firm

SOUNDVIEW PRIVATE WEALTH ADVISORS

Current firm class

state registeredderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Nov 21, 2011earliest registration or exam on IAPD

Years in industry

14derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Exams

S63|S65

First exam

Nov 21, 2011

First registration

Mar 17, 2016

Dual registered

no

Other names

SAM KAPLOWITZ|S E KAPLOWITZ

IAPD individual key

5973521

• Occurred

  Jul 1, 2026
  Advisor changed firm

  Samuel Elias Kaplowitz left Breachway Investments, Llc for Soundview Private Wealth Advisors (registered 2026-06-10)

  Form ADVobserved 6 days ago
• Occurred

  Apr 3, 2023
  Advisor changed firm

  Samuel Elias Kaplowitz left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Breachway Investments, Llc (registered 2023-03-31)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3e0cdbab-09b5-dd7d-3698-855e254a503a

First observed

Mar 17, 2016

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.