DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

W•••••• S•••••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

River Vale, NJ | MORRISTOWN, NJ

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Search this name across graphsid dfx:ria:5522c8a3-386f-bac6-8ad7-f6f26fabd841

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 27, 2002 to Sep 15, 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 28, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jun 21, 2021	n/a	yes	MORRISTOWN, NJ\|River Vale, NJ	Current employment
H•••••• W••••• A••••••••• L••	Former SEC adviser	Aug 23, 2019	Dec 22, 2022	no	MORRISTOWN, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• W••••• A••••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Dec 22, 2022	Jun 21, 2021	-549	Firm change after gap	Other
M••••••••• W••••• M••••••••• L••	H•••••• W••••• A••••••••• L••	Dec 12, 2022	Aug 23, 2019

Relationships

Registered with (6)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Jun 21, 2021 to presentfactForm ADV
→ H•••••• W••••• A••••••••• L••Registered adviserregistration: previous registration
Aug 23, 2019 to Dec 22, 2022factForm ADV
→ M••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 13, 2019 to Dec 12, 2022factForm ADV
→ M••••• S••••••

Dated events

Occurred
Dec 22, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 12, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5522c8a3-386f-bac6-8ad7-f6f26fabd841
First observed: Jun 27, 2002
Last observed: Sep 15, 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.