DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

L•••• H••••• L••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

SHREWSBURY, NJ

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Search this name across graphsid dfx:ria:4187a44c-fba2-78b5-2152-04ad6af466b6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 1, 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 30, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom 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•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Feb 22, 2019	n/a	yes	SHREWSBURY, NJ	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 11, 2012	Feb 25, 2019	no	SADDLE BROOK, NJ\|Red Bank, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Feb 25, 2019	Feb 22, 2019	-3	Firm change	Ibd to ibd
M••••• S•••••• D• I•••	A••••••••• F•••••••• S•••••••• L••	Aug 30, 2005	May 11, 2012

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Feb 22, 2019 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 11, 2012 to Feb 25, 2019factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Aug 1, 2002 to Aug 30, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4187a44c-fba2-78b5-2152-04ad6af466b6
First observed: Aug 1, 2002
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.