DFX Intelligence

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

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RIA / WealthAdvisor21 years in industry

A••• F••••••• D•••

Advisor at S••••••• M•••• F••••••••• L••

SARATOGA SPRINGS, NY

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Search this name across graphsid dfx:ria:2e5bd159-dd31-3a32-4855-4cfc480e2d28

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: May 4, 2021 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: S••••••• M•••• F••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 17, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• M•••• F••••••••• L••	Independent wealth	Jul 30, 2021	n/a	yes	SARATOGA SPRINGS, NY	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	May 4, 2021	Dec 31, 2024	no	SYRACUSE, NY\|SARATOGA SPRINGS, NY\|RHINEBECK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	S••••••• M•••• F••••••••• L••	Dec 31, 2024	Jul 30, 2021	-1,250	Firm change after gap	Ibd to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
10641:284218:NY:2024-12-31	Dec 31, 2024	Jul 30, 2021	RHINEBECK, NY	Firm change after gap

Relationships

Registered with (2)

→ S••••••• M•••• F••••••••• L••Registered adviserregistration: current employment
Jul 30, 2021 to presentfactForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
May 4, 2021 to Dec 31, 2024factForm ADV

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e5bd159-dd31-3a32-4855-4cfc480e2d28
First observed: May 4, 2021
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.