DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

L••••••• M•••••• N•••••

Advisor at P•• A••••••• S•••••••• L••

ALBANY, NY

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Search this name across graphsid dfx:ria:2c74c771-00fd-fe36-9cea-ac8daaec2b1e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 17, 2001 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: P•• A••••••• S•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 19, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•• A••••••• S•••••••• L••	Independent wealth	Apr 30, 2021	n/a	yes	ALBANY, NY	Current employment
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Nov 21, 2016	May 6, 2021	no	ALBANY, NY\|STAMFORD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• P••••••• I••••••••• A•••••••• L••	P•• A••••••• S•••••••• L••	May 6, 2021	Apr 30, 2021	-6	Firm change	RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••• P••••••• I••••••••• A•••••••• L••	May 31, 2002

Relationships

Registered with (3)

→ P•• A••••••• S•••••••• L••Registered adviserregistration: current employment
Apr 30, 2021 to presentfactForm ADV
→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 21, 2016 to May 6, 2021factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 17, 2001 to May 31, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c74c771-00fd-fe36-9cea-ac8daaec2b1e
First observed: May 17, 2001
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.