DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

R••• C•••••• K••••

Advisor at S•••••• C•••••• A••••••• L••

NEW YORK, NY | Ocean Pines, MD

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Search this name across graphsid dfx:ria:98ab5439-8424-df21-b13a-d8793872473d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2004 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: S•••••• C•••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 31, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• C•••••• A••••••• L••	Bd affiliated wealth	Mar 11, 2017	n/a	yes	NEW YORK, NY\|Ocean Pines, MD	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 19, 2004	Mar 13, 2017	no	OCEAN CITY, MD\|SALISBURY, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••• C•••••• A••••••• L••	Mar 13, 2017	Mar 11, 2017	-2	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:157299:MD:2017-03-13	Mar 13, 2017	Mar 11, 2017	SALISBURY, MD	Firm change

Relationships

Registered with (2)

→ S•••••• C•••••• A••••••• L••Registered adviserregistration: current employment
Mar 11, 2017 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 19, 2004 to Mar 13, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98ab5439-8424-df21-b13a-d8793872473d
First observed: Oct 19, 2004
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.