DFX Intelligence

S•••••• C••• F••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

S•••••• C••• F••••••••

Advisor at F••••••• S••••••••• I•••

New York, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:b2515903-89bc-946b-8d5b-cd21e35165be

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 14, 2003 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: F••••••• S••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 19, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F••••••• S••••••••• I•••	Independent wealth	Jan 7, 2025	n/a	yes	New York, NY\|NEW YORK, NY	Current employment
H••• S••••••••• •••• I•••	Bd affiliated wealth	Jun 12, 2006	Jan 25, 2021	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|New York, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••• S••••••••• •••• I•••	F••••••• S••••••••• I•••	Jan 25, 2021	Jan 7, 2025	1,443	Firm change after gap	Ibd to RIA
B•• M••••• S••••••••• C•••••••••	H••• S••••••••• •••• I•••	Jul 8, 2005	Jun 12, 2006

Relationships

Registered with (3)

→ F••••••• S••••••••• I•••Registered adviserregistration: current employment
Jan 7, 2025 to presentfactForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Jun 12, 2006 to Jan 25, 2021factForm ADV
→ B•• M••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Oct 14, 2003 to Jul 8, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2515903-89bc-946b-8d5b-cd21e35165be
First observed: Oct 14, 2003
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.