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

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RIA / WealthAdvisor29 years in industry

A•••••• S•••••

Advisor at 1••• A•••••••• L••

POUND RIDGE, NY

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Search this name across graphsid dfx:ria:81ea031e-905d-728f-a45d-54e2001f346b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2021 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: 1••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom 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
1••• A•••••••• L••	Independent wealth	May 9, 2021	n/a	yes	POUND RIDGE, NY	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Apr 7, 2021	May 14, 2021	no	NEW YORK, NY\|WHITE PLAINS, 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
J••• M••••• S••••••••• L••	1••• A•••••••• L••	May 14, 2021	May 9, 2021	-5	Firm change	Wirehouse to new firm

Relationships

Registered with (2)

→ 1••• A•••••••• L••Registered adviserregistration: current employment
May 9, 2021 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Apr 7, 2021 to May 14, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:81ea031e-905d-728f-a45d-54e2001f346b
First observed: Apr 7, 2021
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.