DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)38 years in industry

G••••• C•••••• N••••••

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

Syracuse, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 4, 2003 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: Oct 1, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom 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	Sep 30, 2024	n/a	yes	Syracuse, NY	Current employment
E••••••• L••	Former SEC adviser	Jun 29, 2023	Nov 5, 2024	no	SYRACUSE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• L••	C••••••••• F•••••••• N••••••	Nov 5, 2024	Sep 30, 2024	-36	Firm change after gap	RIA to ibd
C•••••• G•••• • C• I••	E••••••• L••	Oct 2, 2024	Jun 29, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
121188:8032:NY:2024-11-05	Nov 5, 2024	Sep 30, 2024	SYRACUSE, NY	Firm change after gap
10641:121188:NY:2024-10-02	Oct 2, 2024	Jun 29, 2023	SYRACUSE, NY	Firm change after gap

Relationships

Registered with (5)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Sep 30, 2024 to presentfactForm ADV
→ E••••••• L••Registered adviserregistration: previous registration
Jun 29, 2023 to Nov 5, 2024factForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Feb 7, 2007 to Oct 2, 2024factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviser

Dated events

Occurred
Nov 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 4, 2003
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.