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M•••••• F••••••••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

M•••••• F••••••••• L•••••

Advisor at W•••• F•••• A•••••••

SHORT HILLS, NJ

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Search this name across graphsid dfx:ria:587ab6d8-826b-d95e-88ed-8d5958d15163

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 17, 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 13, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

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•••• F•••• A•••••••	Wirehouse	Apr 13, 2009	n/a	yes	SHORT HILLS, NJ	Current employment
B••••••• C•••••• I•••	Former SEC adviser	Jan 21, 2009	Feb 25, 2009	no	NEW YORK, NY

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••••••• C•••••• I•••	W•••• F•••• A•••••••	Feb 25, 2009	Apr 13, 2009	47	Firm change	Other
L••••• B••••••• I•••	B••••••• C•••••• I•••	Oct 15, 2008

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Apr 13, 2009 to presentfactForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Jan 21, 2009 to Feb 25, 2009factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
Mar 17, 2008 to Oct 15, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:587ab6d8-826b-d95e-88ed-8d5958d15163
First observed: Mar 17, 2008
Last observed: Sep 14, 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.