DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

C•••• A••• D••••

Advisor at R•• C•••••• M••••••• L••

SYRACUSE, NY | BALDWINSVILLE, NY

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Search this name across graphsid dfx:ria:444af06b-3982-2525-9250-8c4e3d6a9793

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 23, 2008 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 2, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Oct 5, 2023	n/a	yes	SYRACUSE, NY\|BALDWINSVILLE, NY	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Oct 13, 2023	no	Syracuse, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R•• C•••••• M••••••• L••	Oct 13, 2023	Oct 5, 2023	-8	Firm change	Wirehouse to ibd
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:31194:NY:2023-10-13	Oct 13, 2023	Oct 5, 2023	SYRACUSE, NY	Firm change

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Oct 5, 2023 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 13, 2023factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Jun 23, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Oct 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:444af06b-3982-2525-9250-8c4e3d6a9793
First observed: Jun 23, 2008
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.