M•••• L•••••••

Advisor at S••••• W••••• P•••••••

NEW CITY, 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:c88fb492-8f76-72d8-1406-688472aad86a

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 4
On other graphs: 0
Observed: May 4, 2021 to Sep 18, 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••••• W••••• P•••••••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Jan 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• P•••••••	No RAUM reported	Sep 17, 2026	n/a	yes	NEW CITY, NY	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	May 4, 2021	n/a	yes	Brooklyn, NY\|New City, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	S••••• W••••• P•••••••	Sep 16, 2026	Sep 17, 2026	1	Firm change	Ibd to new firm

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:343698:NY:2026-09-16	Sep 16, 2026	Sep 17, 2026	NEW CITY, NY	Firm change

Relationships

Registered with (2)

→ S••••• W••••• P•••••••Registered adviserregistration: current employment
Sep 17, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
May 4, 2021 to Sep 16, 2026factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 4 days ago
Occurred
Aug 10, 2026
Advisor owns new adviser
••• Locked
Form ADVobserved 7 days ago

Show 2 bookkeeping events

Occurred
Sep 17, 2026
••• Locked
First seen by DFX
Sep 17, 2026
date not stated
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c88fb492-8f76-72d8-1406-688472aad86a
First observed: May 4, 2021
Last observed: Sep 18, 2026 5 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.