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

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RIA / WealthAdvisorChartered Financial Analyst17 years in industry

S•••• N• S•••••••

Advisor at N•• E••• W•••••

STAMFORD, CT | New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f5e8600d-01c1-8b97-720c-b943b02d5dbc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 3, 2022 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 16, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Nov 14, 2025	n/a	yes	STAMFORD, CT\|New York, NY	Current employment
S••••• T•••• A•••••••• L••	Independent wealth	Mar 3, 2022	Dec 1, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• T•••• A•••••••• L••	N•• E••• W•••••	Dec 1, 2025	Nov 14, 2025	-17	Firm change	RIA to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
220519:307771:NY:2025-12-01	Dec 1, 2025	Nov 14, 2025	NEW YORK, NY	Firm change

Relationships

Registered with (2)

→ N•• E••• W•••••Registered adviserregistration: current employment
Nov 14, 2025 to presentfactForm ADV
→ S••••• T•••• A•••••••• L••Registered adviserregistration: previous registration
Mar 3, 2022 to Dec 1, 2025factForm ADV

Dated events

Occurred
Dec 1, 2025
Advisor changed firm
S•••• N• S••••••• left S••••• T•••• A•••••••• L•• for N•• E••• W••••• (registered 2025-11-14)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5e8600d-01c1-8b97-720c-b943b02d5dbc
First observed: Mar 3, 2022
Last observed: Sep 15, 2026 6 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.