DFX Intelligence

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

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RIA / WealthAdvisor16 years in industry

S•••• M•••••• L••••

Advisor at W••••• A••••••• S•••••••• L••

Rochester, NY | SHOREWOOD, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 4, 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: W••••• A••••••• S•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Dec 7, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• A••••••• S•••••••• L••	Institutional manager	Jun 28, 2024	n/a	yes	Rochester, NY\|SHOREWOOD, IL	Current employment
G••••• R••••••••• P••••••• L••	Institutional manager	Mar 8, 2022	Jul 5, 2024	no	SAN RAFAEL, CA\|Rochester, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••• R••••••••• P••••••• L••	W••••• A••••••• S•••••••• L••	Jul 5, 2024	Jun 28, 2024	-7	Bulk transfer	Other
C•••••••• I••••••••• R••••••• A•••••••• I•••	G••••• R••••••••• P••••••• L••	Mar 14, 2022	Mar 8, 2022

Relationships

Registered with (5)

→ W••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 28, 2024 to presentfactForm ADV
→ G••••• R••••••••• P••••••• L••Registered adviserregistration: previous registration
Mar 8, 2022 to Jul 5, 2024factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 27, 2014 to Mar 14, 2022factForm ADV
→ C•••••• G•••• • C• I••

Dated events

Order

Occurred
14 Mar 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 4, 2010
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.