DFX Intelligence

P•••• D••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor46 years in industry

P•••• D••••• S••••••

Advisor at S•••••• • C••••••• L••

STAMFORD, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 5, 2007 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•••••• • C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 30, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• • C••••••• L••	Independent wealth	Jan 22, 2009	n/a	yes	STAMFORD, CT	Current employment
S•••••• • C••••••• L••	Independent wealth	Jul 5, 2007	Dec 31, 2008	no	NEW YORK, NY	Previous registration

Relationships

Registered with (1)

→ S•••••• • C••••••• L••Registered adviserregistration: previous registration
Jul 5, 2007 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 5, 2007
Last observed: Sep 14, 2026 10 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.