DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

T••••• S•••••••• V••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

FRONTENAC, MO | GARDEN CITY, NY

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Search this name across graphsid dfx:ria:b09ead2d-ef42-61f3-bec6-f4829dbfa516

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 20, 2013 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom 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•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Dec 1, 2016	n/a	yes	GARDEN CITY, NY\|FRONTENAC, MO	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 20, 2013	Nov 22, 2016	no	ST. LOUIS, MO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• N••••••• • C••••••• I•••••••••	Nov 22, 2016	Dec 1, 2016	9	Firm change	Wirehouse to ibd

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Dec 1, 2016 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 20, 2013 to Nov 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b09ead2d-ef42-61f3-bec6-f4829dbfa516
First observed: Nov 20, 2013
Last observed: Sep 14, 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.