H•••• S••••

Advisor at S•••••••• A••••••• L••

STAMFORD, CT | SCARSDALE, 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:c4b9c1d8-5f67-f1bc-6fa2-8098159dc68f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 15, 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 26, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Nov 12, 2025	n/a	yes	SCARSDALE, NY\|STAMFORD, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Feb 15, 2022	Oct 22, 2025	no	New York, NY\|Purchase, NY\|New York, NY\|scarsdale, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S•••••••• A••••••• L••	Oct 22, 2025	Nov 12, 2025	21	Firm change	Wirehouse to ibd
S•••••• P••••••• I••••••••• A•••••••• L••	U•• F•••••••• S••••••• I•••	Feb 4, 2022	Feb 15, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:283004:NY:2020-06-19	Jun 19, 2020	Jun 11, 2020	PURCHASE, NY	Firm change
110784:173565:NY:2015-03-18	Mar 18, 2015	Mar 27, 2015	SUFFERN, NY	Firm change

Relationships

Registered with (5)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Nov 12, 2025 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Feb 15, 2022 to Oct 22, 2025factForm ADV
→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 11, 2020 to Feb 4, 2022factForm ADV
→ G••• G••••••• P••••••• S•••••••

Dated events

Occurred
Oct 22, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 4, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4b9c1d8-5f67-f1bc-6fa2-8098159dc68f
First observed: May 15, 2013
Last observed: Sep 14, 2026 9 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.