DFX Intelligence
Reading the graph
Reading the graph
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Advisor at Q••••• P••••••• I••••••••• M•••••••••
SARATOGA SPRINGS, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| Q••••• P••••••• I••••••••• M••••••••• | Independent wealth | Apr 21, 2025 | n/a | yes | SARATOGA SPRINGS, NY | Current employment |
| M••••••••• W••••• M••••••••• L•• | Independent wealth | Jul 15, 2019 | Mar 27, 2025 | no | SARATOGA SPRINGS, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••••••• W••••• M••••••••• L•• | Q••••• P••••••• I••••••••• M••••••••• | Mar 27, 2025 | Apr 21, 2025 | 25 | Firm change | RIA to RIA |
| G•••••• S•••• W••••• S•••••••• L••• | M••••••••• W••••• M••••••••• L•• | Sep 13, 2018 | Jul 15, 2019 |
| G•••••• S•••• W••••• S•••••••• L••• | Bd affiliated wealth | Jun 29, 2012 | Sep 13, 2018 | no | LATHAM, NY|IRVINE, CA | Previous registration |
| A•••• P•••••• W••••• M••••••••• L•• | Former SEC adviser | Oct 18, 2007 | Feb 4, 2008 | no | WILLIAMSTOWN, MA | Previous registration |
| D••• M•••• M••••••••• I•• | n/a | Nov 6, 2006 | Oct 19, 2007 | no | WILLIAMSTOWN, MA | Previous registration |
| 305 |
| Firm change |
| Ibd to RIA |
| A•••• P•••••• W••••• M••••••••• L•• | G•••••• S•••• W••••• S•••••••• L••• | Feb 4, 2008 | Jun 29, 2012 | 1,607 | Firm change after gap | Other |
| D••• M•••• M••••••••• I•• | A•••• P•••••• W••••• M••••••••• L•• | Oct 19, 2007 | Oct 18, 2007 | -1 | Firm change | Other |