DFX Intelligence

F•••• B• B•••• A•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

F•••• B• B•••• A•••••••

Advisor at N•• E••• W•••••

STAMFORD, CT

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Search this name across graphsid dfx:ria:3fb07ca8-1093-d4a4-9b8c-c92c7d885ab4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2006 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 24, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Aug 19, 2021	n/a	yes	STAMFORD, CT\|STAMFORD, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jul 3, 2008	Jul 29, 2021	no	NEW YORK, NY\|Wilton, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	N•• E••• W•••••	Jul 29, 2021	Aug 19, 2021	21	Firm change	Wirehouse to RIA
J••• M••••• S••••••••• L••	U•• F•••••••• S••••••• I•••	Jul 11, 2008	Jul 3, 2008

Relationships

Registered with (3)

→ N•• E••• W•••••Registered adviserregistration: current employment
Aug 19, 2021 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 3, 2008 to Jul 29, 2021factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Mar 30, 2006 to Jul 11, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fb07ca8-1093-d4a4-9b8c-c92c7d885ab4
First observed: Mar 30, 2006
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.