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

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RIA / WealthAdvisordual registered (broker-dealer)47 years in industry

L••• R•••• S••••••••

Advisor at W•••••• S••••••••• I•••

RADNOR, PA | NEW YORK, 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:575aa4bb-2ac5-24bc-8b23-5cb3c45f17e4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 25, 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: W•••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 20, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

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
W•••••• S••••••••• I•••	Bd affiliated wealth	Nov 10, 2023	n/a	yes	RADNOR, PA\|NEW YORK, NY	Current employment
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	Aug 25, 2022	Nov 13, 2023	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
B• R•••• W••••• A•••••••• I•••	W•••••• S••••••••• I•••	Nov 13, 2023	Nov 10, 2023	-3	Firm change	Ibd to ibd
B• R•••• W••••• M•••••••••	B• R•••• W••••• A•••••••• I•••	Dec 31, 2022

Team moves

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

Team	Left	Joined	From	Kind
7344:2543:NY:2015-01-26	Jan 28, 2015	Jan 30, 2015	NEW YORK, NY	Firm change

Relationships

Registered with (6)

→ W•••••• S••••••••• I•••Registered adviserregistration: current employment
Nov 10, 2023 to presentfactForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 25, 2022 to Nov 13, 2023factForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Jan 30, 2015 to Dec 31, 2022factForm ADV
→ D••••••• • D••••••• L••

Dated events

Occurred
Nov 13, 2023
Advisor changed firm
L••• R•••• S•••••••• left B• R•••• W••••• A•••••••• I••• for W•••••• S••••••••• I••• (registered 2023-11-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:575aa4bb-2ac5-24bc-8b23-5cb3c45f17e4
First observed: Jul 25, 2002
Last observed: Sep 15, 2026 7 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.