DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

N••• H•••• G•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Bozeman, MT | Corning, NY

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Search this name across graphsid dfx:ria:041049c3-bd38-e72b-88ec-134b90bffc2c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 24, 2015 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Mar 7, 2025	n/a	yes	Bozeman, MT\|Corning, NY	Current employment
S•••• F•••••••• G••••• L••	Independent wealth	May 12, 2021	Nov 20, 2024	no	CORNING, NY\|Corning, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• F•••••••• G••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Nov 20, 2024	Mar 7, 2025	107	Firm change	RIA to ibd
S•••• F•••••••• G••••	S•••• F•••••••• G••••• L••	Mar 22, 2019	May 12, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
108120:299263:NY:2019-03-22	Mar 22, 2019	May 12, 2021	CORNING, NY	Firm change after gap

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Mar 7, 2025 to presentfactForm ADV
→ S•••• F•••••••• G••••• L••Registered adviserregistration: previous registration
May 12, 2021 to Nov 20, 2024factForm ADV
→ S•••• F•••••••• G••••Registered adviserregistration: previous registration
Mar 24, 2015 to Mar 22, 2019factForm ADV

Dated events

Occurred
Nov 20, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:041049c3-bd38-e72b-88ec-134b90bffc2c
First observed: Mar 24, 2015
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.