DFX Intelligence

R•••••• S• H••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

R•••••• S• H••••

Advisor at E•• F•••••••• A•••••••

HAUPPAUGE, NY

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Search this name across graphsid dfx:ria:ef5a8a0c-7b04-d588-7db2-5bdca63c87e3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 17, 2002 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: E•• F•••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 27, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•• F•••••••• A•••••••	Independent wealth	Jun 22, 2021	n/a	yes	HAUPPAUGE, NY	Current employment
M•• F•••••••• S•••••••• I•••	Former SEC adviser	Dec 24, 2015	Jun 2, 2016	no	HAUPPAUGE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• F•••••••• S•••••••• I•••	E•• F•••••••• A•••••••	Jun 2, 2016	Jun 22, 2021	1,846	Firm change after gap	Other
B• R•••• W••••• A•••••••• I•••	M•• F•••••••• S•••••••• I•••	Nov 18, 2015	Dec 24, 2015

Relationships

Registered with (4)

→ E•• F•••••••• A•••••••Registered adviserregistration: current employment
Jun 22, 2021 to presentfactForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 24, 2015 to Jun 2, 2016factForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
May 2, 2014 to Nov 18, 2015factForm ADV
→ A•••• • F•••••••• P•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef5a8a0c-7b04-d588-7db2-5bdca63c87e3
First observed: Sep 17, 2002
Last observed: Sep 14, 2026 9 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.