DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S••••• S••••• I•••••••

Advisor at A••• G••••• A•••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:5aa20ac6-1876-7221-1e2a-48c4c6b5b186

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 7, 2010 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: A••• G••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 8, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••• G••••• A•••••••• L••	Independent wealth	Mar 22, 2019	n/a	yes	NEW YORK, NY	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	May 4, 2021	Jul 10, 2025	no	New York, NY\|Syracuse, NY\|Syracuse, NY\|Syracuse, NY\|SYRACUSE, NY\|Syracuse, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	n/a	Jul 10, 2025	n/a	n/a	Departure no registered destination	Departure
V••• F•••••••• A•••••••• I•••	A••• G••••• A•••••••• L••	Jul 16, 2018	Mar 22, 2019	249

Relationships

Registered with (3)

→ A••• G••••• A•••••••• L••Registered adviserregistration: current employment
Mar 22, 2019 to presentfactForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
May 4, 2021 to Jul 10, 2025factForm ADV
→ V••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 7, 2010 to Jul 16, 2018factForm ADV

Dated events

Occurred
Jul 10, 2025
Advisor departed, no destination yet
S••••• S••••• I••••••• no longer registered at C•••••• G•••• • C• I••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5aa20ac6-1876-7221-1e2a-48c4c6b5b186
First observed: Apr 7, 2010
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.