DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

A••• R•••• S•••••••••

Advisor at M••••• S••••••

New Rochelle, NY | PURCHASE, NY

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Search this name across graphsid dfx:ria:ad0f6992-299c-f0e7-9a48-720a36d99d02

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 20, 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jan 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom 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
M••••• S••••••	Wirehouse	Oct 24, 2023	n/a	yes	PURCHASE, NY\|New Rochelle, NY	Current employment
N•• E••• W•••••	Bd affiliated wealth	Mar 24, 2022	Oct 16, 2023	no	STAMFORD, CT\|STAMFORD, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• E••• W•••••	M••••• S••••••	Oct 16, 2023	Oct 24, 2023	8	Firm change	Ibd to wirehouse
U•• F•••••••• S••••••• I•••	N•• E••• W•••••	Mar 31, 2022	Mar 24, 2022

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: previous registration
May 3, 2011 to Mar 13, 2013factForm ADV
→ N•• E••• W•••••Registered adviserregistration: previous registration
Mar 24, 2022 to Oct 16, 2023factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Mar 21, 2013 to Mar 31, 2022factForm ADV

Dated events

Occurred
Oct 16, 2023
Advisor changed firm
A••• R•••• S••••••••• left N•• E••• W••••• for M••••• S•••••• (registered 2023-10-24)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Advisor changed firm
A••• R•••• S••••••••• left U•• F•••••••• S••••••• I••• for N•• E••• W••••• (registered 2022-03-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad0f6992-299c-f0e7-9a48-720a36d99d02
First observed: Mar 20, 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.