DFX Intelligence

P••• E••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

P••• E••• W•••••

Advisor at S•••••• C•••••• A••••••• L••

BALTIMORE, MD | NEW YORK, NY

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Search this name across graphsid dfx:ria:427a3b3f-c3da-3aac-a1dd-f917997a49d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 3, 2001 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•••••• C•••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 19, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Jan 14, 2015	n/a	yes	BALTIMORE, MD\|NEW YORK, NY	Current employment
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Oct 7, 2014	Dec 31, 2014	no	BALTIMORE, MD\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••• C•••••• A••••••• L••	Oct 6, 2014	Oct 7, 2014	1	Firm change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Nov 19, 2010	Nov 17, 2010

Relationships

Registered with (3)

→ S•••••• C•••••• A••••••• L••Registered adviserregistration: previous registration
Oct 7, 2014 to Dec 31, 2014factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 17, 2010 to Oct 6, 2014factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 3, 2001 to Nov 19, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:427a3b3f-c3da-3aac-a1dd-f917997a49d1
First observed: Oct 3, 2001
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.