DFX Intelligence

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

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

S•••• P•••••• M•••••••••

Advisor at S•••• W••••• A••••••• G•••• L••

WEST SENECA, NY

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Search this name across graphsid dfx:ria:0437acdb-5b11-81d5-5027-87cdbc6c5a0e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Oct 22, 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: S•••• W••••• A••••••• G•••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 11, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••••• A••••••• G•••• L••	Independent wealth	Mar 13, 2018	n/a	yes	WEST SENECA, NY	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	Oct 22, 2015	Jul 10, 2025	no	W. SENECA, NY\|BINGHAMTON, NY\|WEST SENECA, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	S•••• W••••• A••••••• G•••• L••	Jul 10, 2025	Mar 13, 2018	-2,676	Firm change after gap	Ibd to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
10641:289764:NY:2025-07-10	Jul 10, 2025	Mar 13, 2018	WEST SENECA, NY	Firm change after gap

Relationships

Registered with (2)

→ S•••• W••••• A••••••• G•••• L••Registered adviserregistration: current employment
Mar 13, 2018 to presentfactForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Oct 22, 2015 to Jul 10, 2025factForm ADV

Dated events

Occurred
Jul 10, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0437acdb-5b11-81d5-5027-87cdbc6c5a0e
First observed: Oct 22, 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.