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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

R••••• M• S•••

Advisor at C••••• P••••••• L••

NEW YORK, NY | SARATOGA SPRINGS, NY

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Search this name across graphsid dfx:ria:55d1741c-03e2-16ea-f5d9-a6f72f26882a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 24, 2020 to Sep 14, 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: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Jan 22, 2026	n/a	yes	SARATOGA SPRINGS, NY\|NEW YORK, NY	Current employment
G•••••• S•••• W••••• S•••••••• L•••	Bd affiliated wealth	Aug 24, 2020	Dec 10, 2025	no	COHOES, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••••• S•••• W••••• S•••••••• L•••	C••••• P••••••• L••	Dec 10, 2025	Jan 22, 2026	43	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Jan 22, 2026 to presentfactForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Aug 24, 2020 to Dec 10, 2025factForm ADV

Dated events

Occurred
Dec 10, 2025
Advisor changed firm
R••••• M• S••• left G•••••• S•••• W••••• S•••••••• L••• for C••••• P••••••• L•• (registered 2026-01-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55d1741c-03e2-16ea-f5d9-a6f72f26882a
First observed: Aug 24, 2020
Last observed: Sep 14, 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.