R•••••• E••••

Advisor at S•••• W••••• M••••••••• L••

••• Locked

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:fa246bce-17f4-bcd1-a9cb-a791cc2b7eac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 19, 1998 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•••• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••••• M••••••••• L••	Bd affiliated wealth	Feb 11, 2010	n/a	yes	MCLEAN, VA\|Norwalk, CT\|Naples, FL	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Jul 30, 2007	Feb 18, 2010	no	WESTPORT, CT

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	S•••• W••••• M••••••••• L••	Feb 18, 2010	Feb 11, 2010	-7	Firm change	Other
B••••••••• S••••••••• C•••••••••	S••••••••• A•••••• A•••••••• I•••	Jun 29, 2007	Jul 30, 2007

Relationships

Registered with (3)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Feb 11, 2010 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 30, 2007 to Feb 18, 2010factForm ADV
→ B••••••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Aug 19, 1998 to Jun 29, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fa246bce-17f4-bcd1-a9cb-a791cc2b7eac
First observed: Aug 19, 1998
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.