DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

W•••• R•• W•••

Advisor at S••••••• W••••• M••••••••• L••

PURCHASE, NY | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:7b079bca-279e-806f-7741-7f42552a43b9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 29, 1999 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••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 31, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• W••••• M••••••••• L••	Independent wealth	May 27, 2022	n/a	yes	PURCHASE, NY\|SAN FRANCISCO, CA	Current employment
M••••• S••••••	Wirehouse	Aug 25, 2010	Jun 3, 2022	no	Palo Alto, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S••••••• W••••• M••••••••• L••	Jun 3, 2022	May 27, 2022	-7	Firm change	Wirehouse to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S••••••	Aug 26, 2010	Aug 25, 2010

Relationships

Registered with (3)

→ S••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
May 27, 2022 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 25, 2010 to Jun 3, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 29, 1999 to Aug 26, 2010factForm ADV

Dated events

Occurred
Jun 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b079bca-279e-806f-7741-7f42552a43b9
First observed: Nov 29, 1999
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.