DFX Intelligence

G•••••• P•••• W••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)16 years in industry

G•••••• P•••• W••••••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

HAUPPAUGE, NY | TALLAHASSEE, FL

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Search this name across graphsid dfx:ria:d832a6d1-2895-3c83-788b-1dad74077717

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2011 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 25, 2019	n/a	yes	TALLAHASSEE, FL\|HAUPPAUGE, NY	Current employment
F•••• E••••• A•••• M••••••••• I••	Former SEC adviser	Mar 28, 2011	Jan 10, 2019	no	TALLAHASSEE, FL\|HAUPPAUGE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• E••••• A•••• M••••••••• I••	S•••••• N••••••• • C••••••• I•••••••••	Jan 10, 2019	Mar 25, 2019	74	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
134411:793:NY:2019-01-10	Jan 10, 2019	Mar 25, 2019	HAUPPAUGE, NY	Firm change

Relationships

Registered with (2)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 25, 2019 to presentfactForm ADV
→ F•••• E••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Mar 28, 2011 to Jan 10, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d832a6d1-2895-3c83-788b-1dad74077717
First observed: Mar 28, 2011
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.