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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

S•••••• e•••• S••••••

Advisor at V••••••••• A••••••• S•••••••

WOODBURY, NY | Enumclaw, WA

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Search this name across graphsid dfx:ria:3ee51f95-1846-9cba-d43c-2113a1aee87e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 6, 2001 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: V••••••••• A••••••• S•••••••
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: Sep 13, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
V••••••••• A••••••• S•••••••	Bd affiliated wealth	Feb 5, 2025	n/a	yes	Enumclaw, WA\|WOODBURY, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 18, 2024	Aug 1, 2024	no

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
L•• F•••••••• L••	V••••••••• A••••••• S•••••••	Aug 1, 2024	Feb 5, 2025	188	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L•• F•••••••• L••	Dec 6, 2023

Relationships

Registered with (5)

→ V••••••••• A••••••• S•••••••Registered adviserregistration: current employment
Feb 5, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 18, 2024 to Aug 1, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 23, 2019 to Dec 6, 2023factForm ADV
→ S•••••• I••••••••• M••••••••• L••

Dated events

Occurred
Aug 1, 2024
Advisor changed firm
S•••••• E•••• S•••••• left L•• F•••••••• L•• for V••••••••• A••••••• S••••••• (registered 2025-02-05)
Form ADVobserved 6 days ago
Occurred
Dec 6, 2023
Advisor changed firm
S•••••• E•••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2024-03-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ee51f95-1846-9cba-d43c-2113a1aee87e
First observed: Mar 6, 2001
Last observed: Sep 15, 2026 6 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.