DFX Intelligence

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

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RIA / WealthAdvisor35 years in industry

H••••• A••• S••••••

Advisor at S••••••• I••••••••• M••••••••• L••

PURCHASE, NY | REDDING, CT

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Search this name across graphsid dfx:ria:4d829996-755e-d724-82b3-2ea8f5363a7e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 14, 1990 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••••••• I••••••••• M••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Dec 14, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Current registrations: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• W••••• M••••••••• L••	Independent wealth	Apr 1, 2026	n/a	yes	REDDING, CT\|PURCHASE, NY	Current employment
S••••••• I••••••••• M••••••••• L••	Mixed wealth	May 13, 2019	n/a	yes	PURCHASE, NY	Current employment

Relationships

Registered with (2)

→ S••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Apr 1, 2026 to presentfactForm ADV
→ S••••••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
May 13, 2019 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d829996-755e-d724-82b3-2ea8f5363a7e
First observed: Dec 14, 1990
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.