DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst26 years in industry

W•••••• P•••••• C•••••

Advisor at S•• W••••• A•••••••• L••

PARSIPPANY, NJ

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Search this name across graphsid dfx:ria:934aef75-5be9-3986-126d-e001d7807b33

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 4, 2003 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••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 9, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• W••••• A•••••••• L••	Independent wealth	Apr 4, 2024	n/a	yes	PARSIPPANY, NJ	Current employment
B•••••••••	Independent wealth	Sep 6, 2013	Mar 29, 2024	no	SAN FRANCISCO, CA\|NEW YORK, NY\|Atlanta, GA\|JUPITER, FL\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••••	S•• W••••• A•••••••• L••	Mar 29, 2024	Apr 4, 2024	6	Firm change	RIA to RIA
L•••••••• A•••• M•••••••••	B•••••••••	Aug 19, 2013	Sep 6, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
132657:119193:NY:2024-03-29	Mar 29, 2024	Apr 4, 2024	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ S•• W••••• A•••••••• L••Registered adviserregistration: current employment
Apr 4, 2024 to presentfactForm ADV
→ B•••••••••Registered adviserregistration: previous registration
Sep 6, 2013 to Mar 29, 2024factForm ADV
→ L•••••••• A•••• M•••••••••Registered adviserregistration: previous registration
Apr 10, 2013 to Aug 19, 2013factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Mar 29, 2024
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:934aef75-5be9-3986-126d-e001d7807b33
First observed: Sep 4, 2003
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.