DFX Intelligence

G••••• D••••• L••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)30 years in industry

G••••• D••••• L••

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

SARATOGA SPRINGS, NY | Wayne, PA

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Search this name across graphsid dfx:ria:399192b6-606a-46cc-4548-6614a5c4ddd5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 10, 2007 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: Q••••• P••••••• I••••••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 3, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
Q••••• P••••••• I••••••••• M•••••••••	Independent wealth	May 3, 2023	n/a	yes	Wayne, PA\|SARATOGA SPRINGS, NY	Current employment
E•••• W••••• M••••••••• L••	Former SEC adviser	Jul 1, 2011	Oct 24, 2023	no	KING OF PRUSSIA, PA\|SARATOGA SPRINGS, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••• W••••• M••••••••• L••	Q••••• P••••••• I••••••••• M•••••••••	Oct 24, 2023	May 3, 2023	-174	Channel change	RIA to RIA
M•••••• S•••• • C••• I•••	E•••• W••••• M••••••••• L••	Dec 31, 2009	Jul 1, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
151046:174327:NY:2023-10-24	Oct 24, 2023	May 3, 2023	SARATOGA SPRINGS, NY	Firm change after gap

Relationships

Registered with (4)

→ Q••••• P••••••• I••••••••• M•••••••••Registered adviserregistration: current employment
May 3, 2023 to presentfactForm ADV
→ E•••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 1, 2011 to Oct 24, 2023factForm ADV
→ M•••••• S•••• • C••• I•••Registered adviserregistration: previous registration
Apr 20, 2009 to Dec 31, 2009factForm ADV
→ M•••••• S•••• A••••••• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:399192b6-606a-46cc-4548-6614a5c4ddd5
First observed: Dec 10, 2007
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.