DFX Intelligence

C••• M•••••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

C••• M•••••• L••••••

Advisor at C••••••••• F•••••••• N••••••

WALTHAM, MA | Saratoga Springs, NY

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Search this name across graphsid dfx:ria:0a022f7e-a9c2-7961-ccb7-b4bc65bb6690

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Feb 28, 2020 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2015earliest 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: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jul 24, 2025	n/a	yes	Saratoga Springs, NY\|WALTHAM, MA	Current employment
V••••••• • A••••••••• F•••••••• P••••••• I••	Former SEC adviser	Jun 18, 2024	Oct 15, 2025	no	SARATOGA SPRINGS, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••••••• • A••••••••• F•••••••• P••••••• I••	C••••••••• F•••••••• N••••••	Oct 15, 2025	Jul 24, 2025	-83	Firm change after gap	RIA to ibd
O•••• W•••••• I•••	V••••••• • A••••••••• F•••••••• P••••••• I••	Aug 30, 2024	Jun 18, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
108183:8032:NY:2025-10-15	Oct 15, 2025	Jul 24, 2025	SARATOGA SPRINGS, NY	Firm change after gap

Relationships

Registered with (5)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jul 24, 2025 to presentfactForm ADV
→ V••••••• • A••••••••• F•••••••• P••••••• I••Registered adviserregistration: previous registration
Jun 18, 2024 to Oct 15, 2025factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Apr 23, 2024 to Aug 30, 2024factForm ADV
→ S•••••• W••••• P•••••••• L••

Dated events

Occurred
Oct 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 30, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 17, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a022f7e-a9c2-7961-ccb7-b4bc65bb6690
First observed: Feb 28, 2020
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.