DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•• M•••••• S••••••

Advisor at R••••• I••••••••• A•••••••• I••

WILMINGTON, DE | BUFFALO, NY

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Search this name across graphsid dfx:ria:4c321f70-0d48-8188-935f-c8507f6a5ecb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Sep 1, 2016 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: R••••• I••••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Current registrations: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• I••••••••• A•••••••• I••	Bd affiliated wealth	Nov 5, 2025	n/a	yes	WILMINGTON, DE\|BUFFALO, NY	Current employment

Relationships

Registered with (1)

→ R••••• I••••••••• A•••••••• I••Registered adviserregistration: current employment
Nov 5, 2025 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c321f70-0d48-8188-935f-c8507f6a5ecb
First observed: Sep 1, 2016
Last observed: Sep 15, 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.