DFX Intelligence

G••• E••••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

G••• E••••• A••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:4e66cbdd-f204-1b12-831b-6dd554f2d0fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 2008 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 13, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Dec 4, 2015	n/a	yes	PALM BEACH GARDENS, FL	Current employment
B••••••• C•••••• I•••	Former SEC adviser	Jan 21, 2009	Dec 9, 2015	no	PALM BEACH, FL\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• C•••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Dec 9, 2015	Dec 4, 2015	-5	Bulk transfer	Other
L••••• B••••••• I•••	B••••••• C•••••• I•••	Oct 15, 2008	Jan 21, 2009

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Dec 4, 2015 to presentfactForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Jan 21, 2009 to Dec 9, 2015factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
Jul 8, 2008 to Oct 15, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e66cbdd-f204-1b12-831b-6dd554f2d0fb
First observed: Jul 8, 2008
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.