DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

A•••••• F• S••••••

Advisor at Q••••• P••••••• I••••••••• M•••••••••

SARATOGA SPRINGS, NY

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Search this name across graphsid dfx:ria:0f437a5e-3ccc-eb55-f2a1-0366f8834e68

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Aug 8, 2023 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: Q••••• P••••••• I••••••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 19, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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
Q••••• P••••••• I••••••••• M•••••••••	Independent wealth	Mar 4, 2025	n/a	yes	SARATOGA SPRINGS, NY	Current employment
P••• A••••• S••••••••• L••	Bd affiliated wealth	Mar 1, 2024	Feb 19, 2025	no	LATHAM, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• A••••• S••••••••• L••	Q••••• P••••••• I••••••••• M•••••••••	Feb 19, 2025	Mar 4, 2025	13	Firm change	Ibd to RIA
F••••••••• C••••••	P••• A••••• S••••••••• L••	Oct 18, 2023	Mar 1, 2024

Relationships

Registered with (3)

→ Q••••• P••••••• I••••••••• M•••••••••Registered adviserregistration: current employment
Mar 4, 2025 to presentfactForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Mar 1, 2024 to Feb 19, 2025factForm ADV
→ F••••••••• C••••••Registered adviserregistration: previous registration
Aug 8, 2023 to Oct 18, 2023factForm ADV

Dated events

Occurred
Feb 19, 2025
Advisor changed firm
A•••••• F• S•••••• left P••• A••••• S••••••••• L•• for Q••••• P••••••• I••••••••• M••••••••• (registered 2025-03-04)
Form ADVobserved 7 days ago
Occurred
Oct 18, 2023
Advisor changed firm
A•••••• F• S•••••• left F••••••••• C•••••• for P••• A••••• S••••••••• L•• (registered 2024-03-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f437a5e-3ccc-eb55-f2a1-0366f8834e68
First observed: Aug 8, 2023
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.