DFX Intelligence

S•••••• W•••• E••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

S•••••• W•••• E••••••

Advisor at M••••• S••••••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2009 to Sep 15, 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: Feb 27, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Jan 6, 2016	n/a	yes	New York, NY\|Purchase, NY\|New Canaan, CT	Current employment
A•• C•••••• M••••••••• L•••	Mixed wealth	Oct 8, 2013	Dec 31, 2015	no	WILTON, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•• C•••••• M••••••••• L•••	M••••• S••••••	Dec 31, 2015	Jan 6, 2016	6	Firm change	Other
F••••••• M••••••••• L••	A•• C•••••• M••••••••• L•••	Dec 18, 2013	Oct 8, 2013

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Jan 6, 2016 to presentfactForm ADV
→ A•• C•••••• M••••••••• L•••Registered adviserregistration: previous registration
Oct 8, 2013 to Dec 31, 2015factForm ADV
→ F••••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 27, 2009 to Dec 18, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 27, 2009
Last observed: Sep 15, 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.