DFX Intelligence

W•••••• E•••••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

W•••••• E•••••• R•••••

Advisor at S•••••• C•••••• P•••••• W••••• M••••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:4e444622-c666-3e5b-5f91-2125d5a249fa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: May 6, 2009 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•••••• C•••••• P•••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Aug 15, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• P•••••• W••••• M••••••••• L••	State registered	Mar 9, 2026	n/a	yes	NEW YORK, NY	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Oct 20, 2023	Jun 10, 2025	no	Garden City, NY\|Flushing, NY\|New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	S•••••• C•••••• P•••••• W••••• M••••••••• L••	Jun 10, 2025	Mar 9, 2026	272	Firm change	Ibd to state RIA
A••••••••• F•••••••• S•••••••• L••	M•• I•••••••• S•••••••• L••	Oct 13, 2023	Oct 20, 2023

Relationships

Registered with (7)

→ S•••••• C•••••• P•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 9, 2026 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 20, 2023 to Jun 10, 2025factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 1, 2018 to Oct 13, 2023factForm ADV
→ E•••• S••••••••• L••

Dated events

Occurred
Jun 10, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e444622-c666-3e5b-5f91-2125d5a249fa
First observed: May 6, 2009
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.

C•••• I••••••••• S••••••• C••••

Former SEC adviser

May 6, 2009

Oct 1, 2012

Previous registration