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

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RIA / WealthAdvisor20 years in industrynot currently registered

S•••••• L•• Y••••

Advisor at U•• A•••••••

GLASTONBURY, CT | Uniondale, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:52ba3339-21e5-579b-af4d-d673425f934e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 17, 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: U•• A•••••••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U•• A•••••••	Institutional manager	Jul 27, 2021	n/a	yes	Uniondale, NY\|GLASTONBURY, CT	Current employment
M• H••••••• S••••••••• I•••	Bd affiliated wealth	Jul 17, 2009	May 28, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M• H••••••• S••••••••• I•••	U•• A•••••••	May 28, 2019	Jul 27, 2021	791	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
43285:108113:NY:2019-05-28	May 28, 2019	Jul 27, 2021	UNIONDALE, NY	Firm change after gap

Relationships

Registered with (2)

→ U•• A•••••••Registered adviserregistration: current employment
Jul 27, 2021 to presentfactForm ADV
→ M• H••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 17, 2009 to May 28, 2019factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 17, 2026
date not stated
S•••••• L•• Y•••• no longer holds an investment adviser registration (last listed at U•• A••••••• on the 2026-09-16 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52ba3339-21e5-579b-af4d-d673425f934e
First observed: Jul 17, 2009
Last observed: Sep 14, 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.