DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

R•••• M•••••• O•••••

Advisor at S•••••••• A•••••••• L••

GREENWICH, CT | SHORT HILLS, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 15, 2019 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: Mar 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A•••••••• L••	Bd affiliated wealth	Jul 22, 2022	n/a	yes	GREENWICH, CT\|SHORT HILLS, NJ	Current employment
D••••••• S••••••••• L••	Independent wealth	Jul 15, 2019	Jul 28, 2022	no	NEW YORK, NY\|New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••• S••••••••• L••	S•••••••• A•••••••• L••	Jul 28, 2022	Jul 22, 2022	-6	Firm change	RIA to ibd

Relationships

Registered with (2)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 22, 2022 to presentfactForm ADV
→ D••••••• S••••••••• L••Registered adviserregistration: previous registration
Jul 15, 2019 to Jul 28, 2022factForm ADV

Dated events

Order

Occurred
28 Jul 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 15, 2019
Last observed: Sep 14, 2026 10 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.