DFX Intelligence

P••• D•••••• E•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

P••• D•••••• E•••••

Advisor at N•• E••• W•••••

STAMFORD, CT | Allentown, PA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 5, 2001 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 9, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Aug 16, 2024	n/a	yes	STAMFORD, CT\|Allentown, PA	Current employment
M••••• S••••••	Wirehouse	Apr 26, 2013	Aug 22, 2024	no	Philadelphia, PA\|ALLENTOWN, PA\|Allentown, PA\|West Conshohocken, PA\|Allentown, PA\|Chicago, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	N•• E••• W•••••	Aug 22, 2024	Aug 16, 2024	-6	Firm change	Wirehouse to ibd
M•• S•••••••••	M••••• S••••••	Sep 9, 2010	Apr 26, 2013

Relationships

Registered with (3)

→ N•• E••• W•••••Registered adviserregistration: current employment
Aug 16, 2024 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Apr 26, 2013 to Aug 22, 2024factForm ADV
→ M•• S•••••••••Registered adviserregistration: previous registration
Feb 5, 2001 to Sep 9, 2010factForm ADV

Dated events

Order

Occurred
22 Aug 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 5, 2001
Last observed: Sep 15, 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.