DFX Intelligence

E••••• M•••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

E••••• M•••• S••••••

Advisor at R••••••••• C•••••• M•••••••••

Saratoga Springs, NY | Chicago, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 14, 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: R••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Feb 16, 2024	n/a	yes	Saratoga Springs, NY	Current employment
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Sep 8, 2022	n/a	yes	Saratoga Springs, NY\|Chicago, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••••• S•••• W••••• S•••••••• L•••	R••••••••• C•••••• M•••••••••	Sep 28, 2022	Sep 8, 2022	-20	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
106693:291361:NY:2022-09-28	Sep 28, 2022	Sep 8, 2022	SARATOGA SPRINGS, NY	Firm change

Relationships

Registered with (3)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Feb 16, 2024 to presentfactForm ADV
→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Sep 8, 2022 to presentfactForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Dec 14, 2012 to Sep 28, 2022factForm ADV

Dated events

Order

Occurred
28 Sep 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 14, 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.