DFX Intelligence

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

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

B•••• S•••• S••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:65b7c7a7-0657-9151-c9d3-f8ad3edf38a5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 17, 2012 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	PLATTSBURGH, NY\|MALONE, NY\|LAKE PLACID, NY\|POTSDAM, NY	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Jan 10, 2022	Sep 5, 2025	no	Malone, NY\|Lake Placid, NY\|Plattsburgh, NY\|DALLAS, TX\|Potsdam, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
L•• F•••••••• L••	A•••••• A••••••• S•••••••	Aug 11, 2015	Jan 10, 2022

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jan 10, 2022 to Sep 5, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 17, 2012 to Aug 11, 2015factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65b7c7a7-0657-9151-c9d3-f8ad3edf38a5
First observed: Apr 17, 2012
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.