DFX Intelligence

A•• P•••• P•••• O••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

A•• P•••• P•••• O••••••

Advisor at S•••••• C•••••• A••••••• L••

New York, NY

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Search this name across graphsid dfx:ria:6c284830-bc84-a702-622e-1000a58571d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2009 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: S•••••• C•••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 9, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	May 28, 2021	n/a	yes	New York, NY	Current employment
W•••• F•••• A•••••••	Wirehouse	Sep 25, 2018	Jun 3, 2021	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• C•••••• A••••••• L••	Jun 3, 2021	May 28, 2021	-6	Firm change	Wirehouse to ibd
J••• M••••• S••••••••• L••	W•••• F•••• A•••••••	Sep 18, 2018	Sep 25, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:157299:NY:2021-06-01	Jun 3, 2021	May 28, 2021	NEW YORK, NY	Firm change
79:19616:NY:2018-09-17	Sep 18, 2018	Sep 25, 2018	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ S•••••• C•••••• A••••••• L••Registered adviserregistration: current employment
May 28, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 25, 2018 to Jun 3, 2021factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 21, 2014 to Sep 18, 2018factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c284830-bc84-a702-622e-1000a58571d6
First observed: Jan 16, 2009
Last observed: Sep 14, 2026 9 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.