DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

S••••••• R• A•••••

Advisor at M••••• S••••••

Jericho, 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 graphsid dfx:ria:b8cd2a39-6813-3468-bda8-43203e3c9627

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 29, 2006 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 8, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Mar 4, 2019	n/a	yes	Jericho, NY	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Aug 25, 2017	Feb 28, 2019	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	M••••• S••••••	Feb 28, 2019	Mar 4, 2019	4	Firm change	Wirehouse to wirehouse
H•••••••• A•••••••• L••	U•• F•••••••• S••••••• I•••	Aug 18, 2017	Aug 25, 2017

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: current employment
Mar 4, 2019 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Aug 25, 2017 to Feb 28, 2019factForm ADV
→ H•••••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2013 to Aug 18, 2017factForm ADV
→ C••••••••• P•••••••• R••••• C•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8cd2a39-6813-3468-bda8-43203e3c9627
First observed: Sep 29, 2006
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.