DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R••••• B•••••• A••••••••

Advisor at S••••• F••••••••• L••

Parsippany, NJ

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Search this name across graphsid dfx:ria:413903e8-e203-690c-6229-fc2bb38b142c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 5, 2002 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••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 23, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Jan 3, 2019	n/a	yes	Parsippany, NJ	Current employment
S••••• F•••••••• R•••••••• I••	Former SEC adviser	Jun 7, 2002	Sep 20, 2018	no	PARSIPPANY, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• E••••••• I••	S••••• F•••••••• R•••••••• I••	Dec 27, 2018	Jun 7, 2002	-6,047	Bulk transfer	Other
S••••• F•••••••• R•••••••• I••	S••••• F••••••••• L••	Sep 20, 2018	Jan 3, 2019

Relationships

Registered with (3)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Jan 3, 2019 to presentfactForm ADV
→ S••••• E••••••• I••Registered adviserregistration: previous registration
Jun 5, 2002 to Dec 27, 2018factForm ADV
→ S••••• F•••••••• R•••••••• I••Registered adviserregistration: previous registration
Jun 7, 2002 to Sep 20, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:413903e8-e203-690c-6229-fc2bb38b142c
First observed: Jun 5, 2002
Last observed: Sep 14, 2026 8 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.