M••• S••••

Advisor at S•••• R•••• A•••••••

S•••• R••••, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 20, 2001 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•••• R•••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 27, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom 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
S•••• R•••• A•••••••	Independent wealth	Oct 13, 2023	n/a	yes	S•••• R••••, NY	Current employment
I••••••••• W••••• C••••••• L••	Independent wealth	Feb 6, 2023	Dec 20, 2023	no	SOLANA BEACH, CA\|S•••• R••••, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• W••••• C••••••• L••	S•••• R•••• A•••••••	Dec 20, 2023	Oct 13, 2023	-68	Firm change after gap	RIA to new firm
L••••• W••••• A•••••••• I•••	I••••••••• W••••• C••••••• L••	Mar 31, 2023	Feb 6, 2023

Relationships

Registered with (4)

→ S•••• R•••• A•••••••Registered adviserregistration: current employment
Oct 13, 2023 to presentfactForm ADV
→ I••••••••• W••••• C••••••• L••Registered adviserregistration: previous registration
Feb 6, 2023 to Dec 20, 2023factForm ADV
→ L••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 1, 2021 to Mar 31, 2023factForm ADV
→ P•••• W••••••• A•••••••• I•••

Dated events

Order

Occurred
20 Dec 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 20, 2001
Last observed: Sep 14, 2026 10 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.