DFX Intelligence

C••••••••• M••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

C••••••••• M••• P•••••

Advisor at S•••••••• A•••••••• L••

SHREWSBURY, NJ | MIAMI, FL

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:4b93e932-9aa9-6050-0fbe-f2fab803e558

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 8, 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•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 28, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	May 6, 2021	n/a	yes	SHREWSBURY, NJ\|MIAMI, FL	Current employment
W•••• F•••• A•••••••	Wirehouse	Oct 28, 2010	May 11, 2021	no	RED BANK, NJ\|RED BANK, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••••• A•••••••• L••	May 11, 2021	May 6, 2021	-5	Firm change	Wirehouse to ibd
M••••• S••••••	W•••• F•••• A•••••••	Nov 5, 2010	Oct 28, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:226606:NJ:2021-05-11	May 11, 2021	May 6, 2021	RED BANK, NJ	Firm change

Relationships

Registered with (6)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
May 6, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 28, 2010 to May 11, 2021factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Nov 5, 2010factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b93e932-9aa9-6050-0fbe-f2fab803e558
First observed: May 8, 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.