DFX Intelligence

C•••••• L••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

C•••••• L••• B•••••

Advisor at S••••••• I••••••••• C••••••• L••

BUFFALO, NY

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Search this name across graphsid dfx:ria:5f8ac278-5410-7a03-6278-3154fa204842

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 24, 2014 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: S••••••• I••••••••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• I••••••••• C••••••• L••	Independent wealth	Aug 16, 2021	n/a	yes	BUFFALO, NY	Current employment
S•• I••••••••• I•••	Former SEC adviser	Sep 24, 2014	Feb 14, 2018	no	BUFFALO, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• I•••	S••••••• I••••••••• C••••••• L••	Feb 14, 2018	Aug 16, 2021	1,279	Firm change after gap	Ibd to RIA

Relationships

Registered with (2)

→ S••••••• I••••••••• C••••••• L••Registered adviserregistration: current employment
Aug 16, 2021 to presentfactForm ADV
→ S•• I••••••••• I•••Registered adviserregistration: previous registration
Sep 24, 2014 to Feb 14, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f8ac278-5410-7a03-6278-3154fa204842
First observed: Sep 24, 2014
Last observed: Sep 14, 2026 9 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.