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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

M•••••• F•••••• S••••••

Advisor at T••••• A••••••• S•••••••• I•••

STRATFORD, NJ

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Search this name across graphsid dfx:ria:5a4f2a5b-00b1-02ea-88ef-83c870630f9d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 28, 2006 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: T••••• A••••••• 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: Oct 15, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Mar 13, 2023	n/a	yes	STRATFORD, NJ	Current employment
L••• W••••• M••••••••• G••••	Former SEC adviser	Oct 6, 2021	Nov 15, 2021	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
L••• W••••• M••••••••• G••••	T••••• A••••••• S•••••••• I•••	Nov 15, 2021	Mar 13, 2023	483	Firm change after gap	RIA to ibd
B••• S••••••••• L••	L••• W••••• M••••••••• G••••	Feb 4, 2021

Relationships

Registered with (6)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Mar 13, 2023 to presentfactForm ADV
→ L••• W••••• M••••••••• G••••Registered adviserregistration: previous registration
Oct 6, 2021 to Nov 15, 2021factForm ADV
→ B••• S••••••••• L••Registered adviserregistration: previous registration
Mar 1, 2016 to Feb 4, 2021factForm ADV
→ V••••• F•••• A•••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a4f2a5b-00b1-02ea-88ef-83c870630f9d
First observed: Jun 28, 2006
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.