DFX Intelligence

G••••••• A• E••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

G••••••• A• E••••••

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

HAUPPAUGE, NY

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Search this name across graphsid dfx:ria:46126e55-a41e-8042-e3f8-7b3f0ce0948d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 23, 2010 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 10, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	May 26, 2021	n/a	yes	HAUPPAUGE, NY	Current employment
F•••• E••••• A•••• M••••••••• I••	Former SEC adviser	Apr 23, 2010	Jan 10, 2019	no	HAUPPAUGE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• E••••• A•••• M••••••••• I••	S•••••• N••••••• • C••••••• I•••••••••	Jan 10, 2019	May 26, 2021	867	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
134411:793:NY:2019-01-10	Jan 10, 2019	May 26, 2021	HAUPPAUGE, NY	Firm change after gap

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
May 26, 2021 to presentfactForm ADV
→ F•••• E••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Apr 23, 2010 to Jan 10, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46126e55-a41e-8042-e3f8-7b3f0ce0948d
First observed: Apr 23, 2010
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.