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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

E••••• M•••••• F••••

Advisor at U•• F•••••••• S••••••• I•••

NEW YORK, NY | THORNWOOD, NY

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Search this name across graphsid dfx:ria:86276fa7-35c9-43a1-7235-1d8bbf582d6c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2007 to Sep 15, 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 3, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 1

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
U•• F•••••••• S••••••• I•••	Wirehouse	Dec 14, 2012	n/a	yes	NEW YORK, NY\|THORNWOOD, NY	Current employment
C••••• S••••• S••••••••• •••• L••	Former SEC adviser	Jan 4, 2007	Dec 21, 2012	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
C••••• S••••• S••••••••• •••• L••	U•• F•••••••• S••••••• I•••	Dec 21, 2012	Dec 14, 2012	-7	Firm change	Other

Relationships

Registered with (2)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Dec 14, 2012 to presentfactForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Jan 4, 2007 to Dec 21, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86276fa7-35c9-43a1-7235-1d8bbf582d6c
First observed: Jan 4, 2007
Last observed: Sep 15, 2026 7 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.