DFX Intelligence

S•••• R••• N•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst14 years in industrynot currently registered

S•••• R••• N•••

Advisor at A••••• W••••• P•••••••• L••

Saratoga Springs, NY | NEW HARTFORD, NY

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Search this name across graphsid dfx:ria:2c046457-17e0-2a69-2112-754e88427414

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 7, 2013 to Sep 15, 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: A••••• W••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• W••••• P•••••••• L••	Independent wealth	Jan 29, 2026	n/a	yes	Saratoga Springs, NY\|NEW HARTFORD, NY	Current employment
M••••• S••••••	Wirehouse	Jan 7, 2013	Aug 28, 2013	no	Albany, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	A••••• W••••• P•••••••• L••	Aug 28, 2013	Jan 29, 2026	4,537	Firm change after gap	Wirehouse to RIA

Relationships

Registered with (2)

→ A••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Jan 29, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jan 7, 2013 to Aug 28, 2013factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 22, 2026
date not stated
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c046457-17e0-2a69-2112-754e88427414
First observed: Jan 7, 2013
Last observed: Sep 15, 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.