DFX Intelligence

M•••••• R••••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

M•••••• R••••• P•••••

Advisor at L••••••• S••••••••• C••••

ROCHESTER, NY | Denver, CO

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Search this name across graphsid dfx:ria:4372fac1-bf87-3ed3-bef9-f97ec8d32c2b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 21, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Sep 19, 2017	n/a	yes	ROCHESTER, NY\|Denver, CO	Current employment
P•••• S••••••••• L••	No RAUM reported	Jul 14, 2016	Jul 17, 2017	no	ENGLEWOOD, CO	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	L••••••• S••••••••• C••••	Jul 17, 2017	Sep 19, 2017	64	Firm change	Other
O•••• W•••••• I•••	P•••• S••••••••• L••	Jun 17, 2016	Jul 14, 2016

Relationships

Registered with (4)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Sep 19, 2017 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Jul 14, 2016 to Jul 17, 2017factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Sep 9, 2014 to Jun 17, 2016factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4372fac1-bf87-3ed3-bef9-f97ec8d32c2b
First observed: Mar 28, 2012
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.