DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

S••••• G••••• W••••

Advisor at L••••••• S••••••••• C••••

Greensburg, PA | Pearl River, 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:6a6b4291-917b-1edf-69ad-20ab2623d0ff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 9, 2014 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Oct 30, 2018	n/a	yes	Pearl River, NY\|Greensburg, PA\|Greensburg, PA	Current employment
F•••••••• E••••• S•••••••• I•••	Former SEC adviser	Jan 9, 2014	Nov 5, 2018	no	GREENBURG, PA\|SAN DIEGO, CA\|MARLTON, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• E••••• S•••••••• I•••	L••••••• S••••••••• C••••	Nov 5, 2018	Oct 30, 2018	-6	Firm change	Ibd to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
18464:16204:NJ:2018-10-24	Nov 5, 2018	Oct 30, 2018	MARLTON, NJ	Firm change

Relationships

Registered with (2)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Oct 30, 2018 to presentfactForm ADV
→ F•••••••• E••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 9, 2014 to Nov 5, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a6b4291-917b-1edf-69ad-20ab2623d0ff
First observed: Jan 9, 2014
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.