DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant21 years in industry

T••• A••••• S•••••••••

Advisor at S•••• C•••••• L••

HARRISON, NY

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Search this name across graphsid dfx:ria:ad328292-5c69-1e11-f625-0cd33bb161c4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 1, 2005 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•••• C•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 12, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• A•••• M••••••••• L••	No RAUM reported	Mar 29, 2026	n/a	yes	HARRISON, NY	Current employment
S•••• C•••••• L••	Independent wealth	Jun 2, 2023	n/a	yes	HARRISON, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••• C•••••• L••	Jun 5, 2023	Jun 2, 2023	-3	Firm change	Wirehouse to new firm
U•• F•••••••• S••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 7, 2013	Sep 27, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:326728:NY:2023-06-05	Jun 5, 2023	Jun 2, 2023	NEW YORK, NY	Firm change

Relationships

Registered with (6)

→ S•••• A•••• M••••••••• L••Registered adviserregistration: current employment
Mar 29, 2026 to presentfactForm ADV
→ S•••• C•••••• L••Registered adviserregistration: current employment
Jun 2, 2023 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 27, 2013 to Jun 5, 2023factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Jun 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad328292-5c69-1e11-f625-0cd33bb161c4
First observed: Aug 1, 2005
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.