DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A•••••••• I•••
New York City, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | No RAUM reported | Aug 2, 2025 | n/a | yes | New York City, NY | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 6, 2018 | Jul 8, 2025 | no | RYE BROOK, NY|Scarsdale, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | S••••• W••••• A•••••••• I••• | Jul 8, 2025 | Aug 2, 2025 | 25 | Firm change | Other |
| N••••••••• M••••• I••••••••• S••••••••• | A••••••••• F•••••••• S•••••••• L•• | May 16, 2018 | Jun 6, 2018 |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Sep 11, 2017 | May 16, 2018 | no | NEW YORK, NY | Previous registration |
| W••••• P•••••• A•••• M••••••••• L•• | Mixed wealth | Jun 23, 2016 | Aug 1, 2017 | no | SHELTON, CT | Previous registration |
| W••••• I•••••••• S•••••• I•• | Other adviser | Jun 23, 2016 | Aug 1, 2017 | no | SHELTON, CT | Previous registration |
| 21 |
| Firm change |
| Other |
| W••••• I•••••••• S•••••• I•• | W••••• P•••••• A•••• M••••••••• L•• | Aug 1, 2017 | Jun 23, 2016 | -404 | Channel change | Other |
| W••••• P•••••• A•••• M••••••••• L•• | N••••••••• M••••• I••••••••• S••••••••• | Aug 1, 2017 | Sep 11, 2017 | 41 | Firm change | Other |