DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

S•••• A•• C•••••••

Advisor at H••••••• W••••• A•••••••

CLIFTON PARK, NY

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Search this name across graphsid dfx:ria:859f8f3f-11fb-dd42-befc-56d4d3a6e36b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 10, 2012 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: H••••••• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom 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
H••••••• W••••• A•••••••	Independent wealth	Dec 16, 2024	n/a	yes	CLIFTON PARK, NY	Current employment
S•••••• W••••• P•••••••• L••	Bd affiliated wealth	Dec 20, 2017	Dec 23, 2024	no	Clifton Park, NY\|Branford, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• W••••• P•••••••• L••	H••••••• W••••• A•••••••	Dec 23, 2024	Dec 16, 2024	-7	Firm change	Ibd to new firm
C••••• I••••••••• A••••••• L••	S•••••• W••••• P•••••••• L••	Dec 22, 2017	Dec 20, 2017

Relationships

Registered with (4)

→ H••••••• W••••• A•••••••Registered adviserregistration: current employment
Dec 16, 2024 to presentfactForm ADV
→ S•••••• W••••• P•••••••• L••Registered adviserregistration: previous registration
Dec 20, 2017 to Dec 23, 2024factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jul 15, 2015 to Dec 22, 2017factForm ADV
→ H••••••• P•••••• W•••••• L••

Dated events

Occurred
Dec 23, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:859f8f3f-11fb-dd42-befc-56d4d3a6e36b
First observed: Dec 10, 2012
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.