DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

S••••••• R• W••••••

Advisor at C••••••••• A••••••• S••••••• I••

ROCHESTER, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 15, 2009 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••••••••• A••••••• S••••••• I••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 6, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 3, 2023	n/a	yes	ROCHESTER, NY	Current employment
C••••••••• A••••••• S••••••• I••	Independent wealth	Sep 10, 2012	n/a	yes	ROCHESTER, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•• S••••••••• C•••••••••	C••••••••• A••••••• S••••••• I••	Nov 3, 2023	Sep 10, 2012	-4,071	Firm change after gap	Other
A••••••• P••••••••• A•••••••• I••	F•• S••••••••• C•••••••••	Apr 23, 2012	Jun 28, 2012

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ C••••••••• A••••••• S••••••• I••Registered adviserregistration: current employment
Sep 10, 2012 to presentfactForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jun 28, 2012 to Nov 3, 2023factForm ADV
→ A••••••• P••••••••• A•••••••• I••

Dated events

Order

Occurred
3 Nov 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 15, 2009
Last observed: Sep 14, 2026 10 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.