DFX Intelligence

S•••• L••••••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

S•••• L••••••• C•••••

Advisor at A•••• W••••• A•••••••• L••

Melville, NY

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Search this name across graphsid dfx:ria:d43b75a8-65ab-7598-607b-1c218a7c282d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 13, 2016 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: A•••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 8, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• W••••• A•••••••• L••	Bd affiliated wealth	Jul 20, 2022	n/a	yes	Melville, NY	Current employment
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	May 31, 2017	Jul 21, 2022	no	MELVILLE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• A•••••••• I•••	A•••• W••••• A•••••••• L••	Jul 21, 2022	Jul 20, 2022	-1	Bulk transfer	Ibd to ibd
S•••••••• G••••• A•••••••• L••	B• R•••• W••••• A•••••••• I•••	Nov 30, 2016	May 31, 2017

Relationships

Registered with (3)

→ A•••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jul 20, 2022 to presentfactForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
May 31, 2017 to Jul 21, 2022factForm ADV
→ S•••••••• G••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 13, 2016 to Nov 30, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d43b75a8-65ab-7598-607b-1c218a7c282d
First observed: Sep 13, 2016
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.