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N••••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

N••••••• T•••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

STAMFORD, CT | Jackson Heights, NY | New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:46210468-4e18-9457-1923-acf884225e27

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 21, 2025 to Sep 15, 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Jun 5, 2026	n/a	yes	New York, NY\|Jackson Heights, NY\|STAMFORD, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Apr 21, 2025	Jun 16, 2026	no	New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••• P••••••• I••••••••• A•••••••• L••	Jun 16, 2026	Jun 5, 2026	-11	Firm change	Wirehouse to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:283004:NY:2026-06-16	Jun 16, 2026	Jun 5, 2026	NEW YORK, NY	Firm change

Relationships

Registered with (2)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 5, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Apr 21, 2025 to Jun 16, 2026factForm ADV

Dated events

Occurred
Jun 16, 2026
Advisor changed firm
N••••••• T••••• left U•• F•••••••• S••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-06-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46210468-4e18-9457-1923-acf884225e27
First observed: Apr 21, 2025
Last observed: Sep 15, 2026 7 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.