DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner37 years in industry

D•••• R•••••• W•••

Advisor at S•••••••• F•••••••• G••••• I•••

Saratoga Springs, NY | STAMFORD, CT

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Search this name across graphsid dfx:ria:63157f94-5fd7-9f57-0cee-7067ee242ca6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 2021 to Sep 15, 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•••••••• F•••••••• G••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 13, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• F•••••••• G••••• I•••	Independent wealth	Oct 1, 2021	n/a	yes	STAMFORD, CT\|Saratoga Springs, NY	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jul 8, 2021	Oct 11, 2021	no	Saratoga Spring, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	S•••••••• F•••••••• G••••• I•••	Oct 11, 2021	Oct 1, 2021	-10	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ S•••••••• F•••••••• G••••• I•••Registered adviserregistration: current employment
Oct 1, 2021 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jul 8, 2021 to Oct 11, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63157f94-5fd7-9f57-0cee-7067ee242ca6
First observed: Jul 8, 2021
Last observed: Sep 15, 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.